r
i
NORTH CAROLINA
REGISTER
VOLUI^^. 13 • ISST F 5 • Pages 435 - 534
September 1,1998
IN I UTS ISSUE
on
.._> Colleges
1 1 Contractors, Board of Examiners
I I lent and Natural Resources
I i>^ liih and Human Services
Kcal 1 state Appraisal Board
•mmtssion
I )ecisions
PUBLISHED BY
The Office of Administrative Hearings
Rules Division
PO Drawer 27447
Raleigh, NC 27611-7447
Telephone (919) 733-2678
Fax (919) 733-3462
RECEIVED
SEP 0 9 1998
KATHRINE R. EVERETT
LAW LIBRARY
This publication is printed on permanent, acid-free paper in compliance with G.S. 125-11. 13
For those persons that have questions or concerns regarding the Administrative Procedure Act or any of its
components, consult with the agencies below. The bolded headings are typical issues which the given
agency can address, but are not inclusive.
Rule Notices, Filings. Reaster, Deadlines, Copies of Proposed Rules, etc.
Office of Administrative Hearings
Rules Division
Capehart-Crc • r House , >
424 North Blouni Street -~
Raleigh, North Carolina 27601-2817
contact: Mdly Masich, Director APA Services mmasich@oah.state.nc.us%
Ruby Creech, Publications Coordinator rcreech@oah.state.nc.us
(919) 733-2678 ^v
(919)733-34;^2J[AX
Fiscal Notes & Economic Analysis
Office of State Budget and Management
116 West Joiies Street
Raleigh, Nprth Carolina 27603-8005
i } I contact: Mark Sisak, Economist llli
(919)733-7061
|919) 733-0640 FAX
msisak@osbm.state.nc.us
Ruie Review and Legal Issues
- Rules Review Commission
' 1 307 Glenwood Ave., Suite 1 59
Raleigh, North Carolina 27605
contact; Joe DeLuca Jr., Staff Director Counsel
Bobby Bryan. Staff Attorney
(919)733-2721
(919) 733-9415 FAX
Legislative Process Concerning Rule-making
Joint Legislative Administrative Procedure Oversi^t Committee
545 Legislative Office Building
300 North Salisbury Street (919) 733-2578
Raleigh, North Carolina 2761 1 (919) 715-5460 FAX
contact: Mary ShupiQg, Staff Liaison
maiys(^ins.ncga.state.nc:tis
County and Municipality Government Questions or Notification
NC Association of County Commissioners
2 1 5 North Dawson Street (9 1 9) 7 1 5-2893
Raleigh, North Carolina 27603
contact: Jim Blackburn or Rebecca Troutman
NC League of Municipalities
2 1 5 North Dawson Street (9 1 9) 7 1 5-4000
Raleigh, North Carolina 27603
contact: Paula Thomas
This publication is printed on permanent, acid-free paper in compliance with G.S. 125-11.13
NORTH CAROLINA
REGISTER
IN THIS ISSUE
I. IN ADDITION
HHS - Medical Assistance 435
11. RULE-MAKING PROCEEDINGS
Environment and Natural Resources
Coastal Management 436
Health and Human Services
Mental Health. Developmental Disabilities and
Substance Abuse Services 436
Office of State Personnel
State Personnel Commission 436
Volume 13, Issue 5
Pages 435 - 534
September 1, 1998
This issue contains documents officially filed
through August 11, 1998.
Office of Administrative Hearings
Rules Division
424 North Blount Street (27601)
PO Drawer 27447
Raleigh. NC 2761 1-7447
(919)733-2678
FAX (919) 733-3462
Julian Mann III. Director
Camille Winston. Deputv' Director
Molly Masich. Director of APA Services
Ruby Creech. Publications Coordinator
Jean Shirley. Editorial Assistant
Linda Dupree, Editorial Assistant
437
III. PROPOSED RULES
Environment and Natural Resources
Environment and Natural Resources. Department of 491 - 492
Parks and Recreation 495 - 496
Wildlife Resources Commission 492 - 495
Health and Human Services
Health: Epidemiology 496
Mental Health, Developmental Disabilities and
Substance Abuse Services 487 - 488
Social Services 438-487
Insurance
Manufactured Housing Board 488 - 489
Life and Health Division 489-491
Licensing Boards
Acupuncture Licensing Board 501 - 502
Electrical Contractors. Board of Examiners 502 - 513
Real Estate Appraisal Board 513 - 520
Revenue
License and Excise Tax Division 496 - 501
Transportation
Highways, Division of 501
IV. TEMPORARY RULES
Administration
Nonpublic Education 52 1 - 523
Community Colleges
Community Colleges. Board of 524 - 525
Public Education
Education, State Board of 523-524
V. RULES REVIEW COMMISSION 526-528
VI. CONTESTED CASE DECISIONS
Index to ALJ Decisions 529-532
Text of Selected Decisions
97 CPS 1499 533-534
VII. CUMULATIVE INDEX 1-61
Morth Carolina Register is published semi-monthh for $195 per \ ear by the Office of Administrative Hearings. 424 North Blount Street. Raleigh. NC
27601 . (ISSN 1 5200604) to mail at Periodicals Rates is paid at Raleigh. NC, POSTMASTER: Send Address changes to the Sonh Carolina Register.
PO Drawer 27447. Ralemh. NC 2761 1-7447
NORTH CAROLINA ADMINISTR.A TIVE CODE CLASSIFICATION SYSTEM
The \nrih Carolina Adminisiraiiw Cock iM'AC) has four major subdivisions of rules. Two of these, lilies and chapters,
are mandatory. The major subdivision of the NCAC is the title. Each major department in the North Carolina executive
branch of government has been assigned a title number. Titles are further broken down into chapters which shall be
numerical in order. The other two. subchapters and sections are optional subdivisions to be used by agencies when
appropriate.
TITLE/MAJOR DIVISIONS OF THE NORTH CAROLINA ADMINISTRATIVE CODE
TITLE
DEPARTMENT
LICENSING BOARDS
CHAPTER
1
Administration
Acupuncture
1
2
Agriculture
.Architecture
2
3
Auditor
Athletic Trainer Examiners
3
4
Commerce
Auctioneers
4
5
Correction
Barber Examiners
6
6
Council of State
Certified Public Accountant Examiners
8
7
Cultural Resources
Chiropractic Examiners
10
8
Elections
Emplovee Assistance Professionals
11
9
Governor
General Contractors
12
10
Health and Human Services
Cosmetic Art Examiners
14
11
Insurance
Dental Examiners
16
12
Justice
Dietetics/'Nutrition
17
13
Labor
Electrical Contractors
18
14A
Crime Control & Public Safety'
Electrolvsis
19
15A
Environment and Natural
Foresters
20
Resources
Geologists
21
16
Public Education
Hearing Aid Dealers and Fitters
22
17
Revenue
Landscape Architects
26
18
Secretap. of State
Landscape Contractors
28
19A
Transportation
Marital and Familv Therapv
31
20
Treasurer
Medical Examiners
32
*21
Occupational Licensing Boards
Midwiferv Joint Committee
33
TT
Administrative Procedures
Mortuarv Science
34
23
Communitv Colleges
Nursing
36
24
Independent Agencies
Nursing Home Administrators
37
25
State Personnel
Occupational Therapists
38
26
Administrative Hearings
Opticians
40
27
NC State Bar
Optometp.
42
Osteopathic Examination & Reg. (Repealed)
44
Pastoral Counselors. Fee-Based Practicing
45
Pharmacv
46
Physical Therapv Examiners
48
Plumbing. Heating & Fire Sprinkler Contractors
50
Podiatp. Examiners
52
Professional Counselors
53
Psvchologv Board
54
Professional Engineers & Land Surveyors
56
Real Estate .Appraisal Board
57
Real Estate Commission
58
Refrigeration Examiners
60
Sanitarian Examiners
62
Social Work Certification
63
Soil Scientists
69
Speech & Language Pathologists & .Audiologists
64
Substance .Abuse Professionals
68
Therapeutic Recreation Certification
65
Veterinarv Medical Board
66
Note: Title 21 contains the chapters of the various occupational licensing boards.
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IN ADDITION
This Seclloii contains public notices that are required to he published in tlie Register or hare been approved by the Codifier
of Rules for publication.
TITLE 10 - DEPARTMENT OF HEALTH AND HUMAN SERVICES
CHAPTER 26 - MEDICAL ASSISTANCE
SUBCHAPTER 26M - MANAGED CARE AND PREPAID PLANS
This agency is extending the comment period to September 14, 1998 on 10 NCAC 26M .0201 - .0204 rules. These rules were
published in 10 NCR 13:1 pages 5 - 6.
Written comment concerning these rule-making actions must be submitted by September 14, 1998 to Portia W. Rochelle,
Rule-making Coordinator. Division of Medical Assistance. 1985 Umstead Drive, Raleigh. NC 27603, Tel: (919) 857-4094.
13:5 NORTH CAROLINA REGISTER September I, 1998 435
RULE-MAKING PROCEEDINGS
A \nncL' (if Riik'-niuking Proceedings is a slalement aj suhject Dialler of the agency's proposed rule making. The agency
musi publish a notice of the subject matter for public comment at least 60 days prior to publishing the proposed text of a
rule. Publication of a temporaiy rule serves as a Notice of Rule-making Proceedings and can be found in the Register
under the section heading of Temporary Rules. A Rule-making .Agenda published by an agency serves as Rule-making
Proceedings and can be found in the Register under the section heading of Rule-making Agendas. Statutory reference:
as 150B-2I.:.
TITLE 10 - DEPARTMENT OF HEALTH AND
HUMAN SERVICES
CHAPTER 14 - MENTAL HEALTH: GENERAL
SUBCHAPTER 14V - RULES FOR MENTAL
HEALTH, DEVELOPMENTAL DISABILITIES,
AND SUBSTANCE ABUSE FACILITIES AND
SERVICES
TV Totice of Rule-making Proceedings is hereby given by the
1 V Secretaiy of Health and Human Sen-ices in accordance
with G.S. 150B-2L2. The agency shall subsequently publish in
the Register the text of the ridels) it proposes to adopt as a result
of this notice of rule-making proceedings and any comments
received on this notice.
Citation to Existing Rules Affected by this Rule-Making: 10
NCAC 141' . 7201. Other rules may be proposed in the course
of the rule-making process.
Authority for the rule-making: G.S. 122C-!12la)tll)
Statement of the Subject Matter: In order to meet
requirements of the Health Care Financing Administration in
the implementation of the 191 5C Home and Coitimunity-Based
Service Waiver. North Carolina will require area programs to
ensure that clients have a choice of provider for CAP MR-DD
services.
Reason for Proposed Action: CFR 42 Part 430 Subpart G
addresses Choice of Provider and in order for North Carolina
to comply with requirements of the Health Care Financing
Administration (HCFA). it must ensure that area programs offer
a choice of provider to clients who receive CAP MR-DD
ser\-ices.
Comment Procedures: Comments should be submitted to
Charlotte F Hall. Division of Mental Health. Developmental
Disabilities and Substance Abuse Ser^^ices. 325 A'. Salisbuiy
Street. Albemarle Building. Suite 1156. Raleigh. NC 2"603-
5906.
TITLE 15A - DEPARTMENT OF ENVIRONMENT
AND NATURAL RESOURCES
CHAPTER 7H - COASTAL MANAGEMENT
A Totice of Rule-maliing Proceedings is hereby given by the
1 V DENR-Coastal Resources Commission in accordance with
G.S. 150B-21.2. The agency shall subsequently publish in the
Register the text of the ridels j it proposes to adopt as a result of
this notice of rule-making proceedings and any comments
received on this notice.
Citation to Existing Rules Affected by this Rule-Making:
15A SCAC ^H .0300. .2100. .2400. Other rules may be
proposed in the course of the rule-making process.
Authority for the rule-making: G.S. lUA-W: 113A-
Mr/ai.lhi: 113.4-113lb)l6a).ib)l6b).lbll6d): 1I3A-118.1: 113A-
124
Statement of the Subject Matter:
15.4 .VC.-IC 7H .0300 - The proposed amendment will allow for
the construction of bulkheads and piers within the Ocean
Hazard AEC for those shorelines that exhibit Estuarine
Shoreline characteristics.
ISA NCAC 7H .2100, .2400 - The proposed amendment will
allow for the construction of wetland enhancement breakwaters
for shoreline protection in Estuarine and Public Trust IVaters.
The proposed adoption will allow for the placement of riprap
material to protect eroding wetland areas.
Reason for Proposed Action:
ISA .\CAC 7H .0300 - Response to variance request decisions
involving construction of piers in Ocean Hazard AEC's that
exhibit Estuarine Shoreline characteristics.
ISA NCAC 7H.2I00. .2400 - Based on staff recommendations
the Coastal Resources Commission proposes to amend existing
rules and to develop a ne^v General Permit to allow erosion
control structures to protect all wetland areas.
Comment Procedures: Contact Charles Jones. 151-B Highway
24. MoreheadCitv NC 28570. (252)808-2808.
TITLE 25 - OFFICE OF STATE PERSONNEL
CHAPTER! - OFFICE OF STATE PERSONNEL
A Totice of Rule-making Proceedings is hereby given by the
1 V Stale Personnel Commission in accordance with G.S.
150B-21.2. The agency shall subsequently publish in the
Register the text of the rules it proposes to adopt as a result of
this notice of rule-making proceedings and any comments
received on this notice.
436
NORTH C.4ROLINA REGISTER
September 1, 1998
13:5
RULE-MAKING PROCEEDINGS
Citation to Existing Rules Affected by this Rule-Making:
25 NCAC IB .0354. .043^: I H .0602. .0605. .0606: IJ .0503.
. 0512. . 0603. Other rules may he proposed in the course of the
rule-making process.
Authority for the rule-making: G.S. 126-4
Statement of the Subject Matter:
25 NCAC IB .0354 - Time frame for raising allegation of hiring
based on political affiliation or political influence.
25 NCAC IB .0437 - Procedures for appealing to the State
Personnel Commission and Recruitment and Selection Process
for process due to Senate Bill 886 - Most Qualified Applicants.
25 NCA C IH . 0602 - Posting and A nnouncements of I acancies.
25 NCAC IH .0605 - Special Applicant Considerations and
Agency Responsibilities concerning agency recruitment and
selection.
25 NCAC IH .0606 - Selection of Applicants concerning agency
recruitment and selection.
25 NCAC IJ . 0503 - Minimum procedural requirements in state
employee grievance proceedings.
25 NCAC IJ .0512 - Employee grievances based on political
affiliation or political influence.
25 NCAC IJ .0603 - Minimum procedural requirements in state
employee grievance proceedings.
Reason for Proposed Action:
25 NCAC IB .0354 - To adopt a new- rule that establishes the
procedure for filing a grievance which raises certain allegations
in an appeal under the State Personnel Act. Changes are
necessitated by amendments to Chapter 126. the State Personnel
Act. by Senate Bill 886 passed during the 1997 Session of the
General Assembly.
25 NC.4 C IB . 043 7 - To amend the procedure whereby the State
Personnel Commission hears and considers appeals under
Chapter 126. Changes are necessitated by amendments to
Chapter 126. the State Personnel .4ct. by Senate Bill 886 passed
during the 199^ Session of the General Assembly
25 NCAC IH .0602 - To amend the existing rules governing
priority reemployment consideration which is owed to certain
State employees in State government positions subject to
applicable provisions of the State Personnel Act. Changes are
necessitated by amendments to Chapter 126. the State Personnel
Act. by Senate Bill 886 passed during the 1997 Session of the
General Assembly
25 NCAC IH .0605 - To amend existing rules governing the
selection of applicants in the recruitment and selection process
for State government positions subject to the applicable
provisions of the State Personnel Act. Changes are necessitated
by amendments to Chapter 126, the State Personnel Act. by
Senate Bill 886 passed during the 1997 Session of the General
Assembly.
25 NCAC IH .0606 - To amend existing rules governing the
selection of applicants in the recruitment and selection process
for State government positions subject to the applicable
provisions of the State Personnel Act. Changes are necessitated
by amendments to Chapter 126. the State Personnel .Act. by
Senate Bill 886 passed during the 1997 Session of the General
Assembly
25 NCAC IJ .0503 - To amend existing rules governing the
selection of applicants in the recruitment and selection process
for State government positions subject to the applicable
provisions of the State Personnel Act. Changes are necessitated
by amendments to Chapter 126. the State Personnel Act. by
Senate Bill 886 passed during the 1997 Session of the General
Assembly.
25 NCAC 1 J .0512 - To adopt a new rule that establishes the
procedure for filing a grie\'ance which raises certain allegations
in an appeal under the State Personnel Act. Changes are
necessitated by amendments to Chapter 126. the State Personnel
Act. by Senate Bill 886 passed during the 1997 Session of the
General Assembly.
25 NCAC IJ .0603 - To amend existing rules governing the
procedural requirements for certain appeals to the State
Personnel Commission under Chapter 126. Changes are
necessitated by amendments to Chapter 126, the State Personnel
Act. by Senate Bill 886 passed during the 1997 Session of the
General Assembly.
Comment Procedures: Any interested person may submit
written comments addressed to Delores Stanley. Rule-making
Coordinator 116 West Jones Street. Raleigh, NC 27603-8004.
Written comments must be received by 5:00 p.m. on October 29,
1998.
13:5
NORTH CAROLINA REGISTER
September 1, 1998
437
PROPOSED RULES
This Section cuniains the lex! of proposed rules- At least (Sit Jays prior to the publication of text, the agenc\ published a
\otice of Rule-making Proceedings. The agency must accept cottiments on the proposed rule for at least 30 dms from the
publication date, or until the public hearing, or a later date if specified in the notice by the agency. The required comment
period is 60 days for a rule that has a substantial economic impact of at least fire million dollars (S5.000.000i. Statutoiy
reference: G..S. 130B-2L:
TITLE 10 - DEPARTMENT OF HEALTH AND
HUMAN SERVICES
Notice is hereby given in accordance with G.S. 150B-21.2
that the Social Services Commission intends to adopt the
rules cited as 10 \CAC 41S .0101-.0102. .0201-.0204. .0301-
.030'. .0401:040-. .0501-.0506. .060I-.0615. .0'01-.0-13: 10
NCAC 41T. 0101-0106. .0201-.0206 and repeal the rules cited
as 10 NCAC 41 E. 0401. .0403-.0406. .0501-.0518. .0601-.0606.
.0701-.0'04: lONCAC 41G .0501-.0502. .0504-.0513. .0601-
.0606. .O'Ol-.O'OS. .0801-.0809. .0902. .1001-.1002. .1004-
.1013. .110I-.1106. .1201:1208. .1301:1309. .1402: lOXCAC
41 R .0101:010'. Notice of Rule-making Proceedings was
published in the Register on December 1. 199'.
Proposed Effective Date: April 1. 1999
A Public Hearing will be conducted at 10:00 a.m. on
September 9. 1998 at the Albemarle Building. Room 943-2. 325
N. Salisbury Street. Raleigh. SC 2 '603.
Reason for Proposed Action: In 1992. the North Carolina
.Association of Residential Child Care and Family Services
requested and received approval and support from the Division
of Social Services to establish a state^vide committee made up of
NC.4RCCFS members and Division of Social Services staff to
develop licensure rules for residential child care facilities 1 10
NCAC 4 IS) and to develop licensure rules for mo specialized
residential child care program areas 1 10 NCAC 41Tl. The
adoption of new rules was requested in order to update existing
licensure rules, to streamline tlie licensure process and to assure
compliance with the most current child welfare practice
standards in these areas. In order to implement the proposed
new rules, the existing rules in 10 NCAC 41 E (Group Homes-
adopted in 1982). 10 NCAC 41G (Child-Care institution-
adopted in 19") and 10 NCAC 41R (Foster Care Camps-
adopted in 1 986) will need to be repealed. The proposed rules
were developed by a committee process over a three year period
and resulted from an analysis of the existing rules and a
comparison with licensure rules from 10 other states. CWL.A
Standards and CO.A Standards by the committee. During 199'.
the committee and Children's Sen-ices staff revie^ved the rules
and made final revisions to ensure compliance with the latest
child welfare practice standards. In October 199', the
NCARCCFS officially approved these rules at the annual
Executive Directors ' meeting.
Comment Procedures: Anyone wishing to comment on these
proposed rules should contact Sharnese Ransome. APA
Coordinator Social Senices Commission. .\C Division of
Social Ser\-ices. 325 A'. Salisbury Sfeet. Raleigh. NC 2-603.
phone (919) '33-3055.
Fiscal Note: These Rules do not affect the expenditures or
re\-emtes of state or local government funds. These Rules do not
have a substantial economic impact of at least five million
dollars (55.000.000) in a 12-month period.
CHAPTER 41 -CHILDREN'S SERVICES
SUBCHAPTER 41 E - LICENSING OF GROUP
HOMES FOR CHILDREN
SECTION .0400 - ADMINISTRATION
.0401 CONSULTATIVE SERVICES
Consultative senices are pro\ided b\ the Department of
Human Resources as follows:
f+-> Exploration and anaKsis of the need for the service.
{ij Evaluation of the organization's potential for meeting
the identified need.
Interpretation of minimum licensing standards.
stance in meotin" minimum licensing standards
f?-) Consultation to assist the licensee to move bevond
minimum standards: to change or improve the method
of operation or the qualirv of care being provided.
Authority G.S. 131D. Art. LA: 143B-153.
.0403 DEFINITIONS
The following definitions shall appK throughout Chapter 41
except that Subparagraph (7) of this Rule shall not applv to 111:
{44 Group Home. — .\ residential facilit> operated either
under public or priv ate auspices which receiv es for 24
hour care no more than nine children. This number
includes the care givers' own relativ es under the ages
of 18. The composition of the group shall include no
more than two children under the age of 2. four
children under the age of 6. and six children under the
age of 12. A group home shall not provide dav care.
nor shall it be available to adults in the communit>
who vv ish to rent rooms.
(^ Private Group Home. — A group home under the
control, management, and supervision of a private
non profit organization, which operates independeritlv
of a foster care services agencv. a child caring
institution, or a licensed child placing agencv.
(54 Public Group Home. A group home under the control,
management, and supenision of a counrv government.
(44 Private .Agencv Group Home. A group home under
the control, management, and supervision of a foster
care services agencv. a child caring institution, or a
43H
NORTH CAROLIXA REGISTER
September I. 1998
13:5
PROPOSED RULES
licensed child placing agency.
iS^ Public Agency Group Home. A group home under the
control, management, and supervision of a county
department of social services.
{€) License. Permission granted to a corporation, agency
or county government by the Department of Human
Resources to engage in the provision of full time child
care based upon an initial determination, and annually
thereafter, that such corporation, agency, or a county
government has met and complied with minimum
standards set forth in this Subchapter.
f?) Emergency Shelter Home. — A group home which
provides residential care for a period not to exceed 90
days.
Authority G.S. 131D-10.5: 143B-153.
.0404 LICENSING PROCESS
(a^ Application. — The application phase of the licensing
process brings the persons wanting to give residential child care
under the jurisdiction of the licensing statute and provides an
opportunity for the applicant to explore and understand
requirements.
(¥) Study. The study phase focuses on obtaining knowledge
of the proposed program and projected methods of operation.
For private group homes the Department of Human Resources
staff, together with those seeking to be licensed, are responsible
for completing the study phase. For agency group homes, the
supervising agency will be responsible for completing the study.
fe) Approval or Rejection. The decision to give or withhold
official sanction by issuing or refusing to issue a license to
operate a residential child care program is based on information
obtained during the study phase and is reached through
administrative processes within the Department of Human
Resources.
period after the license expiration date.
{2) If the license is not renewed by the end of the QO day
grace period, the license is terminated.
(d) Change in any function information on the license.
fH A license may be changed during the period of time
it is in effect if the change is in compliance with
minimum licensing standards.
(3) A license may not bo changed during the 90 day
grace period.
{¥) The group home or the agency of an agency group
home must notify' the Children's Services Branch in
writing of its request for a change in license,
including such information as is necessary to assure
that the change is in compliance with minimum
licensing standards.
(e) Termination.
f+4 when a group home voluntarily discontinues child
caring operations, the Children's Services Branch
must be notified in writing of the date and reason for
closing;
(3^ if all licensing materials have not been received by
the end of the 90 day grace period, the group home's
license will be terminatedr
Revocation.
{fy
m Revocation of a license may occur when the group
home is not in compliance with minimum licensing
standards and it is determined that compliance
cannot be accomplished within established time
limits.
{¥) The decision to revoke a license is reached through
administrative processes within the Department of
Human Resources.
(^-) The group home or agency of an agency group home
will be notified in writing of the decision to revoke
a license.
Aiithorm- G.S. ! SID. Art. lA: 143B-I53.
.4iithorit\-G.S. I3ID-10.5: 143B-153.
.0405 KINDS OF LICENSES
fa) Full License. A full license is issued for one year when all
minimum licensing requirements are met.
fb) Provisional License.
f+) A provisional license is issued for a maximum of six
months enabling a facility' to operate while some
below standard component of the program is being
corrected.
(3) A provisional license for the same below standard
program component cannot be renewed.
Authority G.S. 131 D. Art. lA: 1433-153.
.0406 LICENSING ACTIONS
fa) — New License. — A new license is
sued when the
Department of Human Resources determines that the group
home is in compliance with minimum licensing standards.
(b) Renewal. Licenses must be renewed annually.
(c) Ninety Day Grace Period.
f+) A license is automatically provided a 90 day grace
SECTION .0500 - MINIMUM STANDARDS
FOR PRIVATE AND PUBLIC GROUP HOMES
.0501 INCORPORATION
Those seeking to establish and carry out child caring activities
shall be incorporated under Chapter 55 or Chapter 55 A of the
General Statutes of North Carolina and shall meet all of the
provisions therein except that county governments shall not be
subject to these statutes.
fH The charter of incorporation shall define the purpose
and function of the corporation, including:
fa) the geographic area to be served;
ffe) the kind(s) of children to be served;
f€^
the range of services which will be provided.
f3) The corporation shall periodically re evaluate its
functions and purpose. — Changes in functions and
purpose shall be provided for in amendments to the
charter.
.4uthorit^• G.S 131D. Art. lA: 143B-I53.
13:5
NORTH CAROLINA REGISTER
September 1, 1998
439
PROPOSED RULES
.0502 GOVERNING BODY
The group home shall have a governing body (hereafter
referred to as board) responsible for its proper function in
accordance with its charter and the purposes set forth therein. expenditures, and planning for securing adequate funds.
(-H The bylaws of the board shall include the following ff^ — After a pennit to develop has been received and if the
(e) A financial committee of the board shall be responsible for
the supervision of the investments of the group home, working
with the executive in preparing the budget, approving unusual
provisions:
— The board shall be composed of representatives of
various interests and occupations;
— The board shall have a plan for the rotation of
members;
— The board shall meet with a quorum present at least
quarterly. A majority of the board shall constitute a
quorum.
Powers and duties of the board shall include the
following:
{a^ to determine the purposes and functions of the group
home;
to employ an executive director;
(3^
-te — define.
writing. — the — functions — aftd
responsibilities of the executive director, and the
basis upon which the Director may be dismissed;
{4t) to develop with the executive director the policies of
the group home;
fe^ to annually evaluate the program and policies of the
group home to determine effectiveness and any
needed changes;
luate the — performance of the
-te — annually — evalu
executive director;
to assure adequate financial support for the program
of child care;
to approve an annual budget for the program of child
Cure,
to keep official minutes of all board meetings as a
part of the organization's permanent records;
to be guided bv the community needs in the
program's overall direction, services, policies and
administration.
Aiithorin-a.S. I31D-10.5: N3B-153.
.0503 FINANCES
fa) — The group home shall have a sound plan of financing
which assures sufficient funds to enable it to carry out its
defined purposes and provide proper care for children.
(b) The new group home shall have sufficient funds assured
to carry it through its first year of operation and assurance of
adequate continuing support.
(c) The group home which receives government funds shall
have an independent audit of the Financial records of the
corporation made at least annually and the report shall be made
a part of the home's records. A copy of this audit shall be sent
to the Division of Social Services. If this function is carried out
by the county's financial representative, an audit will not bo
required on an annual basis.
fd) — An estimated budget shall be prepared and approved
jointly by the board of directors and the executive at the
beginning of each fiscal year showing income and expenditures,
including such details as are required on the annual report.
organization plans to solicit funds for the proposed group home,
the North Carolina law regarding solicitation of funds as found
in G.S. 13 IC shall be met.
Authorin-G.S. 131D-I0.5: 143B-153.
.0504 STAFF
(a) Executive Director
(4-) Qualifications
(A) — The executive director shall have ability as an
administrator and the training and experience that
qualifies him for his job responsibilities;
(©) — The executive director shall be at least 2 1 years of
a>-
Functions
-The — executive — director — shaH — be
responsible — for the — general — management — and
administration of the agency in accordance with
licensing requirements and policies of the governing
body. The functions of the Director or his designee
shall include but not be limited to the following:
{A) — Interpretation — ef — licensing — standards — and
established child care standards to the Board;
(B) — Initiating and carrying out a sound program of
residential — child — eare — w\ — accordance — with
and as approved by the
established standards
Board of Directors;
(€^ — Preparing the group home budget with the
assistance — ef — those — ef — his — staff — whose
responsibilities or abilities qualify' them to help;
(©) — Presenting the budget to the Board or governing
authority for approval;
(&) — Employing and discharging all members of his
staff; '
{¥^ — Holding staff meetings at regular intervals and
discussing plans and policies with his staff;
{G) — Organizing and promoting a program of education
for the continued training and development of the
staffs
(H) — Supervision of the group home staff;
ff) Conducting with each staff member an annual
evaluation regarding his job performance. — A
written copy of each evaluation shall be kept on
{i^ Establishing — and — maintaining — good — working
relationships with other social services agencies in
the community, and assuming responsibility for the
interpretation of the home's program;
(ft) — Administration, admissions and discharges of
children and the child care program with such
delegation of actual work in these areas as is
appropriate.
(b) Professional Services Staff.
(-H Eaeh — group home shall — have available those
440
NORTH CAROLINA REGISTER
September 1, 1998
13:5
PROPOSED RULES
professional services which assure qualiw care for
children and provide planning services with their
families, including the following:
— doctors.
dentists.
nurses.
social workers.
psychologists.
psychiatrists.
nutritionists,
recreation workers,
teachers.
provides child care staff time off duty each month, including one
48 hour period, depending on the staffing pattern utilized and the
type of care provided.
ffe) Jeb — Descriptions. Duties. — responsibilities. — and
qualifications for each staff position shall be defined in writing.
AuthohnG.S. 131D-I0.5: N3B-153.
.0506 SOCIAL SERVICES: ADMISSIONS: POLICIES:
PROCEDURES
(a) Admission policies shall be clearly defined in writing and
shall be reviewed annually and changed as needs and conditions
in the community change.
(b) Admission procedures shall be in keeping with the stated
policies of the group home, and admissions shall be limited to
{¥) Services may bo purchased on an individual basis or
provided by members of the home staff, or obtained
through public or private programs.
(5) Professional workers shall have those special those children for whom the home is qualified by staff, program.
facilities, and services to give adequate care,
(c) In group homes other than shelter homes, the following
(e) — Child Care Staff. Counselors. Teaching Parents or information and materials shall be obtained prior to admission:
qualifications that enable them to work with
children.
Houseparents.
f+^ Qualifications
{A) — shall be at least 1 8 years old;
(B) — shall be mentally and physically fit as evidenced
by the following:
{i) a — physical — examination — completed — by — a
physician. — physician's assistant. — or nurse
practitioner, hereafter referred to as "licensed
medical provider", prior to assuming the
position and every other year thereafter. The
costs of physical examinations which are
required for continuing employment are to be
paid by the group home:
a health questionnaire completed by the
individual staff on each year when a physical
examination is not required:
a TB skin test prior to assuming the position,
and annualK thereafter, except when the
licensed medical provider advises against it:
hall have education, training and experience
sufficient to equip them for the duties assigned:
(&) — shall not be persons who have been found to have
neglected or abused a child by any agency duly
authorized by law to investigate allegations of
abuse or neglect.
Duties
(A) — shall have responsibilitv' for the day to day
activities of the home and care of the children.
(&) — shall — assume those duties — assigned them — m
accordance with any specialized program of the
home.
(4) Verification that the person making application for
placement has the authority to do so;
{2) A completed application for services signed by the
parents, legal custodian or agency with the authority
to place the child;
^ A social summary which includes background
information on the child, his family, his presenting
problems and current circumstances which will
enable the group homo staff to determine if the
child's needs arc consistent with the homo's program
of care;
{^
(iiif-
(ef-
(3>
(4) A written placement agreement signed by authorized
persons which includes the services to be provided
by the group home, and the responsibilities of the
parents and legal custodian, indicating who will be
responsible for the child's financial and medical
needs, fees to be paid, consent for emergency
medical — treatment. — length — ef — stay; — visitation
expectations and limitations between the child and
his family, and the schedule of review conferences;
{^ Documentation — of a — physical — examination — as
specified in Rule .051 '1(a)(1) of this Subchapter.
{4) — In a group home that has a written agreement with a
department of social services to provide residential child care
exclusively for children for whom that department of social
services has placement authority, the group home or department
of social services must comply with all provisions of Paragraph
(c) of this Rule. Specific responsibilities for social services in
Paragraph (c) of this Rule shall be defined in the written
agreement,
(e) In shelter homes the following information and materials
(d) Clerical Staff Each home shall have adequate clerical shall be obtained;
services to keep correspondence, records, booldveeping and files
current and in good order.
Authority G.S. 131D-10.5: 143B-153.
.0505 PERSONNEL POLICIES
(a) Leave. TTio group home shall have a written policy which
(4^ Determination of custody within 72 hours of
admission with the legal custodian participating in
the admission procedure;
(3) A written consent for placement signed b\ the legal
custodian within 72 hours after admission;
{^ A social summaPi which — includes background
information on the child, his family, his presenting
13:5
NORTH CAROLINA REGISTER
September 7, 1998
441
PROPOSED RULES
probleniLv and current circumstances within two
weeks ot" admission:
(-4-) Documentation of a piiysical as specified in Rule
.05l4(a)( I ) of tiiis Subchapter within two weeivs of
admission.
fft — In a shelter home that has a written agreement with a
department of social services to provide residential child care
(3-) In all other group homos, an evaluation shall be
made at least semi annualK.
Authority G.S. 131D-W.5: I43B-I53.
.0509 SOCIAL SERVICES: VISITING POLICIES
(a) Visits of relatives with children and of children with their
exclusively for children for whom the department of social families shall be planned on an individual basis,
services has placement authority, the shelter home or department (b) Whether these visits will take place in the group home or
of social ser\'ices must comply with all provisions of Paragraph elsewhere shall be the decision of the group home.
(e) of this Rule. Specific responsibilities for social services in
(c) Visitation policies shall be developed through consultation
Paragraph (e) of this Rule shall be defined in the written v.ith. and the approval of the legal custodian of the child.
agreement.
(d) if the group home uses private families in the community
visits:
(g) In group homes other than shelter homes, a written plan of as visiting homes for children for weekends, holidays, or
care for each child shall be developed at the time of admission. vacation, the following shall be required prior to arranging such
and reviewed at least semiannually by the group home staff,
parents, and legal custodian and the child, when appropriate. In
shelter homes the written plan of care shall be developed within
72 hours of admission and reviewed every other week h\ the
group home staff, parents and legal custodian, and the child,
when appropriate. This plan of care shall include:
f4-) The expectations and goals to be reached by the
child while in care:
(34 The tasks and activities of the group home staff to
meet the needs of the child while in care:
{5^ The tasks and activities of the parents and legal
custodian to meet the needs of the child while in
Authority- G.S. I3ID-I0.5: N3B-153.
.0507 SOCIAL SERVICES: DISCHARGE POLICIES
(a) A written discharge plan shall be part of the plan of care
for each child. The child shall participate in the formulation of
the plan, if possible.
(b) A schedule of reviews of the progress made towards the
discharge plan shall be set up to include the group home staff.
the responsible agency representative, the child and parents
and/or relatives, when appropriate.
Written consent shall be obtained from the legally
responsible agency or person of the child prior to
such a visit.
The interests, needs, and welfare of the child shall
be assessed, and the child shall be agreeable to the
arrangement.
A preliminary visit betvseen the child and family he
plans to visit, shall take place prior to an overnight
visit.
The host family shall be assessed prior to such a
-*
e review
{^i) — If the child is unable to participate
conference, he shall be kept informed of the progress made
toward the discharge plan, and be given sufficient time to
prepare for his departure from the home.
Authority G.S. 131D-10.5: 143B-153.
.0508 SOCIAL SERVICES: SERVICES TO
CHILD AND FAMILY
(a) The group home shall provide those services to a child and services or private family and children's services agenc>.
his family which it has stated it will provide.
fb^ — The group home shall make referrals to. and work .Authority G.S. 13ID-10.5: 1438-153.
visit, to determine that they can provide proper care
and supervision for the child, and if they share
common interests with the child. The assessment
shall include:
fA^ — A visit to the host famiK's home:
fB-) — A completed application on the host family:
{Q^ — A brief social history on the host family:
(B) — A signed agreement by the host family and the
group — home — ef — agency. — which — states — the
responsibilities of each, and that the host family
fulK understands these responsibilities:
(E) — Responses from three references that the host
famiK can provide the proper care and superv ision
needed bv the child.
.Authority G.S. 131D-10.5: 143B-153.
.0510 SOCIAL SERVICES: FOLLOW UP SERVICES
(a) Services to support and maintain the child in his return to
the community shall be offered.
(b) If the discharging group home is not staffed to render this
service, a referral shall be made to a county department of social
cooperativeK with other agencies and community' resources.
fe-) — The group home shall evaluate each child's placement
needs on a regular basis, and shall include the parents and
relatives, as well as the agency with legal responsibility for the
child in the rev iew.
f-H In shelter homes, an evaluation shall be made
biweekK.
.0511 SOCIAL SERVICES:
(a) Child's Case Record.
RECORDS AND REPORTS
(-H In group homes other than shelter homes a complete
and confidential case record shall be maintained
which shall contain the follovsing:
y^ — Documentation of placement authority:
442
NORTH CAROLINA REGISTER
September 7, 1998
13:5
PROPOSED RULES
Social summan :
Completed application for services:
Written placement agreement:
Written plan of care including the
semiannual
.0512 CHILD CARE AND DEVELOPMENT:
PROGRAM
fa) — The child care program shall be designed to provide
opportunities for positive learning experiences for the child and
shall be geared to the needs of the children served.
(fe) — If the home uses a systematic approach for altering
Preadmission — physical — examination. — and — any maladaptive — behavior. — both — residents — and — staff shall — be
subsequent — medical — information — s«€h — as thoroughly instructed in this system.
reviews:
Documentation that verifies the child's birth:
hospitalizations. — significant — illnesses. — dental {e) — Staff administering the program shall have had prior
examinations, etc.:
Immunization record (this record must be obtained
within 30 da>'S of a child's admission to the home):
-A — discharge — summary — with — the — date — and
experience or training in the principles of this system.
(d) — There shall be an annual evaluation by the board of
directors to measure the effectiveness of the program and to
offer direction for needed changes.
circumstances of discharge.
(3) In a group home that has a written agreement with a AnthoriH' G.S. ISlD.Ari. !A: 143B-153.
department of social services to provide residential
child care exclusively for children for whom the
department — of social — services — has — placement
.0513 EDUCATION
Children shall attend the public school to which they are
authority, specific responsibilities for children's assigned unless an alternative education plan is agreed upon by
(^
records in Subparagraph (a)( 1 ) of this Rule must be
identified in the written agreement.
In shelter homes, a confidential case record shall be
maintained which shall contain the following:
(A) — A written plan of care developed within 72 hours
of admission:
fB) — Placement consent, signed by the person or agency
with placement authority within 72 hours of a
child's admission:
Report of the medical examination if a child
w-
remains in care longer than two weeks:
Social summary, with information indicating that
the group home's program of care is appropriate if
the child remains in care longer than two weeks.
In a shelter home that has a written agreement with
a department of social services to provide residential
child care exclusively for children for whom the
department — of social — services — has — placement
authority specific responsibilities for children's
records in Subparagraph (a)(3) of this Rule must be
identified in the written agreement,
(b) Shelter Log. In shelter homes, a log shall be maintained
that lists at a minimum the following:
{V) child's name. age. sex. and race:
(3) legally responsible parent, relative, or agency
representative's name and telephone number:
date of admission:
(4) date of discharge.
{e) — Staff Medical Reports. — A medical report shall be
completed prior to employinent and every other year thereafter
and maintained on each fijll and part time child caring staff, any
relatives residing in the home, and an\ person responsible for
preparing or serving food in the home.
(d) Annual Report. Each group home shall submit an annual
statistical report as required by the Department to the licensing
authority within 60 days after the end of the program's fiscal
Authority G.S. I3ID-I0.5: I-I3B-153.
the child, the home, and the responsible person or agency
making placement.
Authority G.S. 131D. Art. lA; 143B-153.
.0514 CHILD CARE AND DEVELOPMENT:
HEALTH
(a) Medical Program. Ever>' group home shall have a planned
program of medical care.
(44 Medical Requirements for Admission.
(A) — No child shall be accepted into a group home
without having had a physical examination within
90 days prior to admission, which shall include a
signed statement by a licensed medical provider
specifying the child's current medical condition
and medications prescribed and indicating the
presence of any communicable disease or medical
condition which may pose a significant risk of
transmission in the facility. — If a child is in the
custody of a department of social services, is
already scheduled to have and is having a physical
completed annually, and is entering a private group
home, the schedule of annual physicals shall not
be changed. However a copy of the most recent
physical — shaH — be — sent — by — the — responsible
department of social services to the private group
home for the child's record there except that in
shelter homes, the physical examination and
statement shall bo obtained within two weeks of a
child's admission.
(B) — A child admitted to a group home shall be
immunized against diphtheria, tetanus, whooping
cough. — poliomyelitis. — Fed — measles — (rubeola),
rubella, mumps, and any other disease as required
by 15A NCAC I9A .0400. which is incorporated
b\ reference including subsequent amendments
and editions, prior to admission, or as soon after as
practical. Documentation of these immunizations
shall be obtained within 30 davs of a child's
13:5
NORTH CAROLINA REGISTER
September 7, 1998
443
PROPOSED RULES
admisiiion. A copv of 15A NCAC lOA .O'lOO may
be obtained from the Office of Administrative
Hearings. P.O. Drawer 27'1'17. Raleigh. North
Carolina. (QIQ) 733 2678. at a cost of two dollars
and fifty cento (S2.50) at the time of adoption of
this Rule. A copy is available for inspection in the
Children's Services Section. N.C. Division of
Social Services. Albemarle Building. 325 North
Salisbury Street. Raleigh. North Carolina 27603.
(3^ Medical Care. Arrangements shall be made with at
least one licensed physician and one dentist for the
care of children in the home.
(5^ Hospital Care. Arrangements shall be made with a
hospital for the admission of children from the group
home in the event of serious
Illness or m an
t4f
emergency.
First Aid.
(^
Houseparents shall receive training and be able to
administer first aid.
First aid kits shall be available for instant use-
Home Medical Care Practices.
(tM — Group homes shall not engage in any medical care
practices that conflict with the control measures
for communicable diseases in 15A NCAC I9A
.0200. — which — '\s — incorporated — by — reference
including subsequent amendments and editions. A
copy of 15A NCAC lOA .0200 ma\ be obtained
from the Office of Administrative Hearings. P.O.
Drawer 27447. Raleigh. North Carolina 27611.
(019) 733 2678. at a cost of t\vo dollars and fift>
cents (S2.,^0) at the time of adoption of this Rule.
A-
I available for inspection in the Children';
copy
Services Section. N.C. Division of Social Services.
Albemarle Building. 325 North Salisbury Street.
Raleigh. North Carolina 27603.
(64 — Houseparents shall be able to recognize the
common s\mptoms of illnesses of children and to
note any marked physical or emotional handicaps
of children.
A sterile clinical thermometer shall be kept
available for use.
(€)-
Medicine supply cabinets shall be kept locked
when not in immediate use.
{^ Medical Records. Each child shall have a personal
medical record available which shall include:
the statement of the physician who examined him
at the time of admission to the home;
a record of his immunizations: this record shall be
obtained within 30 days of a child's admission to
the home:
(G4 — consent of parents or guardians for medical care:
(&) — a record of the medical care and examinations
given while in — eare; — including a record of
hospitalizations, significant illnesses or accidents,
and treatment given.
f7^ Dental Records, included in a child's medical record
shall — be — a — dental — record. — showing — dates — ef
examinations and bv whom uiven.
(b) Routine Aspects of Health. Personal Hygiene, and Safety.
(-H Staff shall routinely apply general infection control
procedures which shall include but not be limited to
Universal Precautions specified by the Centers for
Disease Control. U.S. Department of Health and
Human Services. Public Health Services. Atlanta.
Georgia — which — is — incorporated — by — reference
including subsequent amendments and editions. A
copy of that document may be obtained from the
National AIDS Information Clearinghouse. P.O.
Bex %m^. Rockville. Maryland 20850,
1 800 458 523 1 . at no cost for a single copy at the
time of the adoption of this Rule. — A copy is
available for inspection in the Children's Services
Section, — Nt€^ — Division — ef — Social — Services.
Albemarle Building. 325 North Salisbury Street,
Raleigh. North Carolina 27603.
(3^ Sleep. — Each child in a group home shall have
enough sleep for his age at regular and reasonable
hours and under conditions conducive to rest. While
children are asleep, at least one staff member shall
be near enough to hear calls.
{?r) Hygiene. — Children shall be taught and helped to
keep themselves clean. They shall receive training
in all aspects of personal hygiene. Bathing and toilet
facilities shall be in working order and kept clean.
f4) Toilet Articles.
{^
(A) — Each child shall have his own clearly identified
toothbrush, comb, towel and wash cloth and his .
ovNn separate place for keeping those personal Vj
articles.
(&) — Towels, wash cloths, and bed linens shall be
changed weekly or more often as required by good
hygiene.
Safety. — Any child care staff transporting a child
shall have such child properly secured in a child
passenger — restraint — system — pursuant — te — the
(^
a^
requirements of G.S. 20 137.1.
(c) Nutrition.
f44 Meals served to all children shall provide for their
nutritional requirements as advised by the National
Research Council (Recommended Daily Dietary
Allowances).
Any modified food needs of an individual child shall
be provided under the direction of a licensed
medical provider.
The menus shall be planned by or in consultation
with a registered nutritionist or dietitian.
AuthorinG.S. 131D-I0.5: N3B-153.
.0515 CHILD CARE AND DEVELOPMENT:
RECREATION
(a) There shall be a planned program of recreation in line with
the ages of the children and the purpose of the group home.
fb^ — This program shall incorporate the resources of the
communitv and involvement in communit\ activities.
444
NORTH CAROLINA REGISTER
September 1, 1998
13:5
PROPOSED RULES
Authority' G.S. I SID. Art. I A: I43B-I53.
.0516 DISCIPLINE
Authority G.S. 13 ID. Art. I A: N3B-I53.
.0602 FINANCES
{&) — In planning discipline, the child's age. intelligence. The agency shall have a sound plan of Financing the group
emotional make up and his past experience shall be considered.
(b) Discipline shall be consistent.
(c) Appropriate work tasks or denials of privileges shall be
acceptable methods of discipline.
(d) Denial of meals shall not be used as punishment.
(e) Corporal punishment shall not be used.
ff) Isolation or locked custody shall not be used as
punishment,
(g) No intimidation or verbal threats
shall be used.
Authorit\'G.S. 131D. Art. lA: 143B-153.
.0517 WORK
faf
WORK
The work program for children in the group home shall
have as its purpose the development of good work habits and a
sense of responsibility. The provisions of the N.C. Child Labor
Law concerning age. hours of labor and hazardous occupations
shall be complied with the assignment of work to children.
(b) Children shall not be required to be solely responsible for
any major phase of operation or maintenance of the home. This
would include cooking, laundering, housekeeping, farming, and
repair work.
(c) No home shall require a child to work for the purpose of
paying the home for his cost of care except where an older child
k moving toward self support enters into a contract with the home
H in which he is paid for his work and assumes a gradual degree of
responsibility for his own needs.
Authority G.S. 13 ID. Art. I A: I43B-I53.
.0518 EXPLOITATION
(a) — No child shall be used in any way for the purpose of
soliciting funds.
(b) Neither shall he be identified in connection with publicity
for the home in any way which would cause him or his family
embarrassment.
(c) Before pictures or any other means of identity'ing children
may be used in publicity or public relations efforts for the home,
a statement of permission shall be obtained from the parents or
custodian of the child. Such permission shall be obtained each
and evor>' time public relations efforts are undertaken.
.Authority G.S. 13 ID. Art. lA: 143B-I53.
SECTION .0600 - MINIMUM STANDARDS FOR
PRIVATE AND PUBLIC AGENCY GROUP HOMES
.0601 PURPOSE
The agency shall clearly define in writing the purpose the
group home is to serve, including the following:
f+-) the geographic area to be served:
(3^ the children to be served:
{¥) the range of services to be provided-
home which assures sufficient funds to enable it to cany out its
defined purposes and provide proper care to children.
.Authority G.S 13 ID. Art. lA: 143B-153.
.0603 STAFF
(a) There shall be a responsible staff person designated as
supervisor of the group home staff and operation.
(^) — Child Care Staff. Counselors. Teaching Parents, or
Houseparents.
(-B Qualifications
&^
(t\^ — shall be at least 18 years of age:
(S) — shall be mentally and physically fit as evidenced
by the following:
{i) a — physical — examination — completed — by — a
licensed medical provider, prior to assuming
the position and ever\' other year thereafter:
the costs of physical examinations which are
required for continuing employment are to be
paid by the group home:
(ti^ a health — questionnaire completed by the
individual staff on each year when a physical
examination is not required:
{m) — a TB skin test prior to assuming the position,
and annually thereafter except when the
licensed medical provider advises against it:
{Q) — shall have education, training and experience
sufficient to equip them for the duties assigned:
{&) — shall not be persons who have been found to have
neglected or abused a child by any agency duly
authorized by law to investigate allegations of
abuse or neglect.
Duties
(A) — shall have responsibility for the day to day
activities of the home and care of the children:
(R) — shall — assume those duties — assigned them — m
accordance with any specialized program of the
home.
.Authority G.S. 131D-10.5: 143B-I53.
.0604 PERSONNEL POLICIES
(a) Leave. The group home shall have a written policy which
provides child care staff time off duty each month, including at
least one 18 hour period, depending on the staffing pattern
utilized and the t\pe of care provided.
Duties
espons
ibilities. — and
(fe) teb — Descriptions
qualifications for each staff position shall be defined in writing.
.Authority G.S. 131D-10.5: 143B-153.
.0605 SOCIAL SERVICES
Social services shall be governed by Rules .0506 through
.051 1 of this Subchapter.
13:5
NORTH CAROLINA REGISTER
September 1, 1998
445
PROPOSED RULES
AulhontyG.S. I SID. Art. I A: I43B-153.
.0606 CHILD CARE AND DEVELOPMENT
Child ciire and development shall be governed by Rules .0512
through .0518 of this Subchapter.
Authority G.S. I SID. Art. I A: I4SB-I5S.
SECTION .0700 - MINIMUM STANDARDS FOR THE
PHYSICAL FACILITY FOR GROUP HOMES
.0701 CONSTRUCTION: GENERAL REQUIREMENTS
Any individual or organization proposing to build a new
facility or convert an existing building for a group home for
children must comply with North Carolina State Building Code
which is adopted by reference pursuant to G.S. 150B \'\{c).
AuthormG.S. 13ID-I0.5: I4SB-I5S.
.0702 CONSTRUCTION: FUNCTIONAL
REQUIREMENTS
(a) Living Room.
f4-) The living room shall be accessible from an outside
entrance without going through sleeping areas or
food service or preparation areas.
(33 The living room shall have an area of 200 square
feet or. in existing buildings, shall be large enough
to meet the needs of the family, residents and guests.
(b) Dining Area.
m The dining area shall be near the kitchen.
(3) The dining area shall be a minimum of 120 square
feet in size or. in existing buildings shall be large
enough to seat all family, residents and guests
comfortably, with adequate space for serving food.
(c) Kitchen. The kitchen shall be large enough to provide for
preparation and preservation of food and cleaning of dishes.
(d) Bedrooms.
m Rooms used for sleeping shall be clearly identified
as bedrooms and shall not serve dual functions.
No child shall share a bedroom with an adult.
equipped with a minimum of five cubic feet per
child for storage in bedrooms.
f+43 Bedrooms for multiple occupancy shall provide a
minimum of 80 square feet for each child, excluding
closet and wardrobe space. — Bedrooms for single
occupancy shall provide a minimum of 100 squaro
feet, excluding closet and wardrobe space except
that shelter homes with a maximum length of stay of
15 days shall provide a minimum of 40 square feet
per child in multi occupancy bedrooms. — Rooms
w ith less than 80 square feet of floor area shall not
be used as bedrooms,
(e) Bathrooms.
i4j Bathrooms shall be located as conveniently as
possible to the bedrooms.
The entrance to the bathroom cannot be through a
O^
kitchen or other bathroom.
There shall be a minimum of two water closets, two
tubs or one tub and one shower available to
residents.
(^
Authorin- G.S. I SID. Art. I A: I4SB-I5S.
.0703 CONSTRUCTION:
REGULATIONS
(a) General Requirements.
FIRE SAFETY
(3)-
(3-) Each child shall have his own bed except that
siblings of the same sex may share a double bed.
(4) Children older than six years old of different sexes
shall not share a bedroom.
^ Each bed shall be not less than 30 inches wide nor
less in length than the height of the child.
{%) Each bed shall be provided with substantial springs. Aitthority G.S. lSlD-10.5: I4SB-15S.
a comfortable mattress and suitable bed covering.
^ There shall be three feet of floor space between
W Bunk beds are not recommended. However, if the\
f+^ An evacuation plan shall be developed, and fire
drills shall be held at regular intervals to assure that
both children and staff are familiar with procedures
to be followed in the event of fire.
{2) Staff and children shall be trained in properly
reporting a fire, in extinguishing a small fire, and in
escaping from a fire.
{i) Fire exits, that is doors, hallways, and stairs, shall be
well lighted. They shall be kept clear for passage
and ready for instant use.
(4-) All homes shall have a telephone.
(§-) When — alternate systems of heating are — being
considered, the Division of Facility Sen'ices shall be
notified in order to approve the system prior to
installation,
(b) Annual Inspection. In order to be eligible for a license, a
group home must receive a satisfactory rating on inspection by
the county building inspector or local fire department before the
home opens and annually thereafter.
are to be used, they shall bo at least five feet apart.
.0704 CONSTRUCTION: HEALTH REGULATIONS
(a) Group homos must meet the minimum standards as set by
the North Carolina Health Services Commission.
(b) Each group home shall have and use a dishwasher which
f^
No day bed. convertible sofa or other bedding of a is maintained in good working order.
temporary nature shall be used.
f-l-&3 Bedrooms shall be equipped with a minimum of 50
cubic foot per child for storage of clothing and other
personal belongings except that shelter homes with
a maximum length of sta\ of 15 dass shall be
(c) In order to be eligible for a license, a group home must
receive an approved rating on inspection by the county sanitarian
before the home opens and annually thereafter
.4utliorinG.S ISID-10.5: I4SB-I5S.
446
NORTH CAROLINA REGISTER
September I, 1998
13:5
PROPOSED RULES
SUBCHAPTER 41G - MINIMUM STANDARDS
FOR CHILD CARING INSTITUTIONS
SECTION .0500 - PRIVATE INSTITUTION
ORGANIZATION AND ADMINISTRATION
.0501 DEFINITIONS
(a) Child caring institution: a residential care facilit\' utilizing
permanent buildings located on one site for 10 or more children
who are dependent, neglected, abandoned, destitute, orphaned,
delinquent, or otherwise in need of care away from their own
home and not held in detention. The purpose of a child caring
institution is to provide foster care and related services for
children who are unable to live in their own homes. Exception
can be made when no more than two group homes located on
one site and licensed as meeting group homes for children
standards are operated by a count>' department of social services
or by a private program licensed to provide child care or child
placement services.
fb) — Director: — the person who is in charge of the facility,
developing and supervising its program of care and services.
(c) Children: includes persons residing in and under the care
of the institution who are 18 to 21 years of age. Children of staff
members are not included.
Authority G.S. 13 ID. Art. lA; 143B-155.
.0502 PURPOSE
The purpose of the institution shall be clearly defined in a
charter of incorporation which shall be filed in the Office of the
Secretary of State. Raleigh. North Carolina. Such definitions
shall include the geographical area to be served, the children
who will be accepted for care and the services to be provided for
these children and their families. — Changes in purposes of
program shall be provided for in amendments to the charter filed
in the Office of the Secretary of State.
Authority' G.S. 131 D. Art. lA: 143B-153.
.0504 LOCATION
The institution shall be located available to schools
churches.
hospitals, clinics, mental health services and recreational
facilities. The location shall provide safe and ample playgrounds
for children in an area conducive to their health and well being.
Authority G.S. 131 D, Art. lA: 143B-153.
.0505 GOVERNING BODY
The institution shall have a governing board responsible for its
proper function in accordance with its purposes as sot forth in a
charter of incorporation and in written bylaws adopted by the
board:
(4^ Composition of Board
fa) The board shall be composed of men and women of
various occupations and experience.
(fe) The board shall have a minimum of five members.
(2) Meetings of the Board of Directors. A meeting of the
governing board shall be held at least once a year at
(^
(ef
(^
the institution. Either the full board or its executive
committee (or equivalent) shall meet at least quarterly.
Permanent records shall bo maintained of all meetings
of the governing board and the executive committee.
Functions of the Board
(a) The governing board shall be organized and shall
function according to written b>iaws adopted for the
regulation or management of the affairs of the
corporation.
(b) The board shall be responsible for determining the
purposes and functions of the institution, for
adopting policies governing the administration,
social services, child care and development, and
physical plant of the institution, and for assuring that
the institution — functions according to policies
established — by — the — board. The — board — shaH
periodically review the institution's program to
determine if changes are needed.
{e) The board shall employ a director of the institution
who meets the qualifications in Rule .0508 of this
Subchapter and shall have responsibility for its
operation. — When the institution is one of several
facilities governed by the same board, the Director
may be hired by the executive of the agency who
shall be employed by the board.
(d) If for any reason the Director is unable to perform
assigned duties, he shall be replaced and an acting
director appointed.
44e — member — of — the — governing — board — ner
subcommittees thereof shall directly administer any
part of the operation of the institution. No employee
of the institution shall be a member of the governing
board.
The board shall be responsible for supen'ising any
investments of the institution, approving the annual
operating budget and any major items not included
in the budget, authorizing all capital expenditures,
and planning for securing adequate financial support
for the institution.
Authority G.S. 13 ID- 10. 5: 143B-153.
.0506 FINANCES
(a) — The institution shall have funds to meet the costs of
carrying out its defined purposes and providing proper care and
services for the type and number of children accepted.
(b) A budget shall be approved by the governing board prior
to the beginning of each fiscal year showing sources and
amounts of income and providing for:
f+) salaries for required number of staff.
(2) meeting the direct costs of care for the number and
type of children accepted.
(3^ maintenance of the physical plant.
(4) meeting the cost of any proposed expansion or
replacement.
fe) — Financial accounts shall be maintained showing all
receipts, disbursements, assets and liabilities of the institution.
The accounting records shall be maintained on a current basis
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447
8123
PROPOSED RULES
and conform to generally accepted accounting principles.
Financial reports shall be made to the board at least quarterly.
{4t) — All financial records of the institution which receives
governmental funds shall be audited annually and the audit
report made a part of the institution's permanent records. The
audit shall be made by an indopondont public accountant or
public accounting firm. A copy of the audit shall be submitted
each year to the Department of Human Resources.
(e) The provisions of the North Carolina law with regard to
the solicitation of funds as found in the General Statutes of
North Carolina, Chapter 13 IC, Charitable Solicitation Licensure
Act, shall be met by those institutions carrying out campaigns
within the purview of this law.
assistance of those whoso responsibilities or abilities
qualify' them to help. The budget shall be presented
to the board for approval.
(4^ He shall be responsible for all customary purchases,
with delegation of actual work to designated staff.
He shall secure approval for major items not
authorized in the budget.
{4) He — shaH — be — responsible — for — employing — and
discharging all members of his staff with delegation
of actual work to designated staff.
{%) He shall hold staff meetings at regular intervals and
discuss plans and policies with his staff
{€) He — sh*H — provide and promote a program of
W
Authority' G.S. 131D-10.5: I43B-I53.
.0507 STAFF: GENERAL
The institution shall provide the staff and services necessary to
insure the proper care and safety of children in care. — Staff
members who provide direct care for children in the institution
or prepare their food shall have a physical examination
completed by a physician, physician's assistant, or nurse
practitioner, hereafter referred to as "licensed medical provider",
within at least six months before beginning work and biennially
thereafter. — A TB skin tost is required prior to assuming the
position and annually thereafter, except when the licensed
medical provider advises against it. Examinations shall include
tests necessary to determine that the staff member is able to carry Aiithorit}- G.S. I3ID-10.5; 143B-153.
out assigned duties and does not have any communicable disease
or condition which poses significant risk of transmission in the
facility.
Authority G.S. I31D-I0.5: 143B-153.
.0508 THE DIRECTOR
(a) There shall be a fijil time director to supervise the program
education — fef — the — continued — training — and
development of the staff. He shall be responsible
for the effectiveness and efficiency of his staff.
{^ He shall establish and maintain cooperative working
relationships with other social agencies in the
community — and — have — responsibility — fef — the
interpretation of the institution's program.
{%) He shall have responsibility for administration,
social services, the child care program and the
physical plant of the institution with delegation of
actual work in those areas as is appropriate.
He shall delegate authority to a qualified staff
member during his absence from the institution.
.0509 SUPERVISORY STAFF/PROFESSIONAL
SERVICES
(a) The Departmental heads, unit directors, supervisors, and
other management staff shall be qualified by education, training,
and experience for the particular job responsibilities to which
they are assigned.
fb4 — The institution shall have available those professional
of care and services of an institution licensed for 20 or more services which assure appropriate care for children. — Such
children, and a director at least part time for an institution
licensed for loss than 20 children.
(b) The Director shall have education, training, and experience
that qualifies him for planning, administering, and supervising
a residential child care program.
f&) — A director appointed after the effective date of these
standards shall have a degree from an accredited four year
college or university and shall have at least two years of work
professional services shall include those of doctors and dentists,
nurses, social workers, psychologists, psychiatrists, dietitians,
health educators and teachers.
Authority G.S. 13ID-10.5: 1438-153.
.0510 CLERICAL STAFF
The — institution — shaH — have — clerical — services — te — keep
experience, one of which was in a supervisory capacity, in the correspondence, records, bookkeeping and files current and
good order. There shall be at least one clerical person on the
staff:
field of child welfare services, health services, education,
psychology, social services, religious education, or other allied
profession.
(d) The Director shall bo in charge of the operation of the Authorir\-G.S. 131D. Art. lA: 143B-153.
institution, making at least quarterly reports for the board on all
phases — of its — operation. He — shaH — have — the — following
responsibilities:
.0511 CHILD CARE STAFF
(a) There shall be at least one child care worker assigned for
f+^ He — shah — have — responsibility — fef — interpreting direct care and supervision to each living unit or group of
established standards of child care and for initiating children at all times.
and carry ing out a sound program in accordance fb^ — The ratio of child care staff who are employed by the
with these standards.
(3^ He shall prepare the institution's budget with the
institution to provide care and supervision for children shall be
one for everv ten children six vears of age and older and one for
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NORTH CAROLINA REGISTER
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PROPOSED RULES
over\' eight children younger than six years of age included in to the institution's services.
the living unit. It" a living unit has all children younger than six
years of age there shall be one child care worker for five Authority G.S. 131D-10.5: I43B-153.
children. Staff included in the ratio are child care workers and
supervisors of child care. — Relief staff are not included in the
ratio.
.0602 ADMISSION SERVICES
(a) Admission policies shall be clearly defined in writing and
(c) Each member of the child care staff shall be selected on the available to persons or agencies making inquiries. Admission
policies shall be carefully reviewed from time to time and
changed as needs and conditions in the community change.
(c) bach member ot the child care start shall be selected on the
basis of his Icnowledge. experience, and competence required in
caring for children.
(d) Child care staff shall be no younger than 1 8 years of age. (b) Admission services shall be in accordance with the stated
{e) — Each child care worker shall be provided qualified. policies of the institution. Admissions shall be limited to those
competent supervision in the areas of home management, child children who need care apart from their families and for whom
rearing, family life education, sound health practices and health
maintenance, and food preparation and nutrition when meals are
prepared in the living units by the child care workers.
Authority G.S. 131D-10.5; 143B-153.
.0512 MAINTENANCE STAFF
There shall be a sufficient number of maintenance staff to
the institution is qualified by staff, program, facilities, and
services to give appropriate care.
(c) Staff responsibility for decisions on admissions shall be
clearly established.
(d) Decisions on admissions shall be based upon a study of the
total situation of the child and his particular needs. The study
shall be made prior to admission and shall include all
information which will enable a careful analysis of the
assure that the operation and maintenance of the institution shall application to determine if the institution's program of care is
not be dependent upon the work of the children in care.
Authority G.S. 131D. Art. lA: N3B-J53.
.0513 PERSONNEL POLICIES
(a) The institution shall have written personnel policies and
appropriate for the child.
(e) When parents or other relatives with legal responsibility
for a child apply for the child's admission the institution shall
ascertain what community resources are available to keep the
child in his owti home, such as financial assistance, homemaker
services, day care services, and other supportive services.
shall adhere to the policies. — These policies shall include County departments of social services where requested can assist
families in evaluating community resources available to them.
(f) Children shall be accepted by written application signed by
^ compliance with all applicable state and federal laws:
f4-) Job Descriptions. There shall be a current written
job description for each position which includes the person or representative of the agency having legal authority
qualifications for the position, the duties of the to place the children. Written agreements shall be made setting
position, and specifies to whom the employee is forth the responsibilities of the institution and of the person or
responsible. agency having legal authority for caring and planning for the
(3) Leave. The institution shall have a written policy child. — Provision shall be made for continuing relationships
which — provides — resident — staff — with — direct
responsibility for children a minimum of six 21 hour
between the institution, the legally responsible person or agency,
and the child during the period of placement.
They shall have some (g) The provisions of the North Carolina interstate placement
laws (G.S. 110 50 to 110 57 and 110 57.1 et. seq.) shall be met
f3-) Dismissal. TTiere shall be a policy concerning the when out of state children are being considered for admission or
days off duty each month,
free time off duts each dav.
discharge of employees which includes a grievance
procedure,
(b) Living quarters shall be provided for all staff whose job
responsibilities require them to live within the institution.
Authority G.S 131D-10.5: 143B-153.
SECTION .0600 - PRIVATE INSTITUTION
SOCIAL SERVICES
.0601 STAFF
The institution shall have one or more qualified persons on its
discharge. North Carolina interstate placement laws require the
approval of the North Carolina Department of Human Resources
prior to placement of a child by an out of state agency.
Correspondence relative to admission, progress, and discharge
of children in custody of out of state agencies shall be routed
through the North Carolina Department of Human Resources,
division of social services, as outlined in its operational manual.
fh) — No child shall be accepted in an institution without a
medical examination and a statement signed by a licensed
medical provider specifying the child's current medical condition
and medications prescribed and indicating the presence of any
communicable disease or medical condition which may pose a
staff to provide admission, residential, and discharge services to significant risk of transmission in the facility.
children and their families. To be qualified, staff employed to fi) — In the event of emergency admissions the required
provide social services after the effective date of these standards admission procedures shall be completed within two weeks
shall have a degree in a human service field from an accredited
four year college or university. — They shall be familiar with
community resources for children and their families in addition
following admission. If more than five percent of an institution's
population are admitted on an emergenc\ basis, in any 12 month
period, the institution shall provide an identifiable program for
13:5
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449
PROPOSED RILES
the pro\ijion otomergencx care in a lixing unil separate from
other children in residence.
Authority GS. I3ID-I0.5: 143B-153.
.0603 RESIDENTIAL SERVICES
(a) Each child in care shall have a staff person responsible for
arrangements to be made for the child's care. In all cases the
decision to discharge a child and the child's decision to leave the
institution shall be made known to the person or agenc> having
legal responsibilitv for the child and opportunitv provided for
discussion of this action.
(b) Children shall not be rolopsed and admitted to the care of
another institution or treatment facilit\ xvithout the knowledge
assisting him in making the best use of his sta\ in the institution. and consent of the person or agencs having legal authorit> for
This shall include opportunities to talk privateK about his placing the child,
experiences living in the institution and to express grievance.
Professional services shall bo made available for children who
need help in resolving personal or famiK problems.
AuthonT\G.S. I31D-10.5: 143B-153.
(b) .Arrangements shall be made for staff to talk with parents-
relatives. — &F — representatives — ef — agencies — having — legal
responsibilit). about an individual child's care and adjustment in ef^
the institution.
{^ — Visiting policies for the institution shall be flexible to
allow parents, relatives, and friends to visit with children at least
twice a month.
<-d-) — No child shall be allowed to visit with anyone for
weekends, holidavs. and vacations without the consent of the
person or agencv hav ing legal responsibilitv for him.
(c) If the institution uses private families in the communit> as
visiting homes for children the interests, needs, and welfare of
each child shall be considered in arranging these visits. — The
institutions shall assess each private familv to be used as a
visiting home to determine if the familv can provide proper care
and superv ision for children.
(f) A review shall be made at least once a vear of each child
in care to reassess his needs. The rev lew is to identify w hat t\ pe
of care and services are needed bv the child, if he needs
continued care in the institution, or if his famiK circumstances
have changed and he can be returned to his home.
(g) When a child whose parents placed him in the institution
no longer has his parents available to him due to their death, or
incapacity, or abandonment of the child, the institution shall
refer the matter to the count> department of social serv ices or
court hav ing jurisdiction or to an attomev with the request for a
legal guardian or custodian to be appointed for the child.
fh^ — When adoption is in the best interest of a child whose
parents are deceased or whose parents or other relatives cannot
prov ide a home for him. referral for adoption serv ices shall be
discussed with the person or agencv representative having legal
responsibility for the child.
(i) The institution shall not place or attempt to place children
from the institution in foster familv or adoptive homes unless the
institution is an agencv licensed to provide foster famiK or
adoption services.
Authorm-G.S. 131D-10.5: 143B-153.
.0604 DISCHARGE SERVICES
(a) Staff responsibilitv for decisions on discharging children
shall be clearlv established. Children under 18 vears of age shall
be discharged to the person or agencv having legal custodv of
the children. Insofar as possible the release of each child shall
bo planned with him and with the person or representative of the
agencv having legal responsibilitv for him allowing time for
.0605 RECORDS
(a) The institution shall maintain case records for the purpose
f+4 protecting the legal rights of the child, his parents
and legal custodian, and the institution:
^ documenting the kinds of services rendered to a
child and his famiK: and
(-3^ prov iding a source of information about individual
children, as well as information for the institution in
planning its program of care and services,
(b) Case records shall include the following information for
each child:
(4-) completed application form signed bv the person or
agencv hav ing legal authorit\ to place the child:
(5-) a pre admission studv of the child and his familv
situation, including an explanation of custodv and
legal responsibilitv for the child as indicated b>
parental — statements. — court — orders. — er — agencv
agreements:
a verification of birthdate:
f+f-
medical — consent — signed — by — the — person — er
representative of the agency having legal custodv of
the child:
f^-) agreements indicating the responsibilities of the
person or agencv hav ing legal responsibility for the
child and the institution in planning and caring for
the child:
(4^ agreements and consents for visits outside the
institution:
f74 reports of the pre admission medical examinations.
including immunizations, and reports on all medical.
dental or psv chological serv ices provided while the
child is in care:
{%) a written summarv prepared at least annually of the
review of the child's needs, his progress or lack of
progress — m — eare — and — changes — m — h« — familv
circumstances:
(9^ a — discharge — summarv — indicating — date — and
circumstances of discharge and plan for care in the
communitv.
(c) The institution shall maintain a record of each request for
admission received during a current vear the action taken on the
request, and the disposition made.
Authorities. 131D-10.5: 143B-153.
450
yORTH CAROLIXA REGISTER
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.0606 REPORTS
The institution shall submit an annual report to the Department
of Human Resources on Form DSS 18'13. annual report to the
B Department of Human Resources, division of social services.
Authority G.S. BID. Art. I A: 1 43 B- 153.
SECTION .0700 - PRIVATE INSTITUTION
CHILD CARE AND DEVELOPMENT
.0701 SOCIAL ASPECTS OF CARE
(a) The Child as an Individual
fH Each — elwW — steH — be — considered — em — individual
personality. He — shaH — be — given — appropriate
opportunities for grovMh as a unique individual, for
learning on his own as well as in a group, for doing
things by himself, for himself, as well as with and for
others.
(3) Efforts shall be made to give each child sufficient
individual attention and affection to compensate in
some degree for the regimentation of group living.
(3) Each child shall have the opportunity' to form
constructive relationships with staff of both sexes.
f4^ Each child shall be allowed to experience ownership
and have his own place to keep his possessions.
(#) Each child shall have personal clothing and have his
own place to keep his clothing. He shall be allowed
to take part in selecting his clothing according to his
age and ability to do so. — When he leaves the
institution he shall be allowed to take his clothing
with him.
(#^ Each child shall be given the opportunity of learning
the — value and — use of money through — earning,
spending, giving and saving. Each child shall have an
allowance appropriate to his age to spend as he
wishes.
(b) The Child and his Family
(4^ The — institution — shaH — provide — and — encourage
opportunities for each child to maintain contact and
visit with parents, siblings and relatives both at the
institution and away from the institution insofar as
circumstances permit, and these contacts and visits are
approved by the person or agency having legal
responsibilit>' for the child when other than the natural
parents.
(3^ — No humiliating remarks about a child's parents,
relatives, or guardian shall be made to the child or to
other children in the institution.
fe) — The Child and the Institution. — Each child shall be
assigned to the care of a child care worker who shall be
responsible for assuring his daily care. Each child shall be given
the opportunity to discuss any personal concerns in confidence
with his child care worker,
(d) The Child and the Community
(4^ The institution shall make whatever efforts are
possible toward helping the children have normal
contacts in the community in which the institution is
located such as participation in school functions.
recreational facilities. character building
organizations, church youth groups, and part time
paid or volunteer jobs.
(3) — Children shall be encouraged to form friendships with
children outside the institution, to visit their friends in
the community' and have their friends visit them in the
institution. Children shall have access to telephones
to provide them with opportunit>' to maintain contact
with friends and family members,
(e) Discipline
(4-) — The institution shall have clearly defined, written,
reasonable disciplinary policies which are fair to
children and staff. These policies shall be directed at
helping each child develop his own self control and
assume responsibility' for his ov\ti acts. These policies
shall include measures to protect children from abuse.
(3) — Administration of discipline shall — be an adult
responsibility. No child or group of children shall be
allowed to punish another child.
{?r) Requests made of children and standards set for their
behavior shall be reasonable and within their abilit>' to
achieve.
(4) — Children shall not be subjected to cruel, severe or
excessive punishment including, but not limited to.
physical abuse, verbal abuse, locked confinement,
deprivation of food, of mail, and of family visits and
contacts.
(0 Work Assignments
(+) Work assignments for children in the institution shall
be planned for a child to have meaningful work
experiences and to develop good work habits and a
sense of responsibility.
(3-) Work assignments shall be made according to the ages
and abilities of children. Children shall be provided
adult supervision on their work assignments.
f34 Work assignments shall not interfere with school.
recreation, study periods, adequate sleep, communit^y'
contacts and visits with family.
(4^ Children shall not be substitutes for employed staff.
They shall not be required to cany out responsibilities
of staff.
{^ An institution shall not require a child to work for the
purpose of paying the institution for his care,
(g) Exploitation
fH — No child shall be used in any way to solicit funds.
Neither shall he be identified in connection with
publicity for the institution in any way which will
bring him or his family embarrassment. — Written
permission shall be obtained from the person or
agency having legal responsibility for each child
before pictures or any other means of identify'ing
children are used in publicity or public relations
efforts of the institution.
{5) — No child shall be forced to aclcnowledgc in public his
dependency on the institution or his gratitude to it.
Authorities. 131D-10.5: 143B-153.
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451
1^
PROPOSED RULES
.0702 RECREATION
{xt) — The institution shall pro\ide individual and group
recreational opportunities appropriate to the age. intorost. and
needs of each child. — Suitable space and competent adult
direction shall be provided for both indoor and outdoor
recreational activities.
fef
(b) 1 he recreational program shall provide opportunities
bo> s and girls to plav together as vsell as separately. For older
children a dating policy shall be established which will allow
them opportunities for developing social relationships with
others of their own age group in the institution and in the
community.
Aiahonn- G.S. 131D-10.5: 143B-J53.
.0703 EDUCATION
(a) The institution shall see that each child of school ago is
provided an education in a public school or nonpublic school
which is operated in accordance with the public school lavss or
with the nonpublic school laws of North Carolina.
— (b) If a school is maintained and operated by the institution.
or an educational program is operated by the institution which
children attend in lieu of attending schools off campus. — the
institution shall comply with N.C. General Statutes governing
nonpublic schools.
— (c) Facilities shall be provided by the institution for home
study and for reference books. — Provisions shall be made for
remedial assistance as indicated b\ the needs of the children.
Authority G.S. 131D-W.5: 143B-153.
.0704 RELIGIOUS TRAINING
(a) Each child shall have opportunities for religious education
and to attend religious services.
(b^ — Each institution shall have clearly defined policies
regarding religious training and practices for the information of
those considering placement of children in the institution.
Authorit}-G.S. 131D-10.5: 143B-153.
.0705 MEDICAL PROGRAM
The institution shall have a planned program of medical care
which shall be implemented and include each child in care:
fT) Admission Requirement. Each child shall have had a
medical — examination — prior to admission. The
examination shall be reported in writing and specify
any medical condition the child might have requiring
obsersation. — monitoring — ef — treatment — and — am-
(^
medications prescribed.
Medical Care
fa-) Arrangements shall be made with one or more
licensed medical phy sicians or medical clinics
for the medical care of the children.
(W Each child shall have a ph> sical examination at
least once a \ear and more often as needed. A
child shall not be allowed to participaie in
activities injurious to his health. Anv illness.
disease — er — medical — condition — requiring
observation, monitoring or treatment of a child
shall be identified and treated promptly through
proper medical care. — Children shall have
psychiatric or psychological examination or
both when indicated and treatment when
fe) The child care staff shall be instructed as to
what medical care ma\ be given by them
without specific orders from a licensed medical
provider. The\ shall be instructed as to how
and xs'hen to obtain further care and how to
handle emergencies.
{^ Hospital Care. Arrangements shall be made with a
hospital for the admission of children from the
institution — m — the — event — of serious
Illness — OF
emergencv.
f4-) First Aid. At least one member of the child care staff
on duty at any given time shall have taken a course in
first aid given by a qualified instructor and be able to
administer first aid. First aid kits shall be available.
f5^) Home Health Care
(*) The institution shall not engage in any home
health care practices that conflict \sith the
control measures for communicable diseases in
15A NCAC 19A .0200. which is incorporated
by reference including subsequent amendments
A copy of 15A NCAC 19A
Wt
ledical record which shall include the report of the
phy sician who examined him prior to admission to the
institution, a record of his immunizations, consent for
medical care signed by the person or representativ e of
the agency having legal custodv of the child, a record
of each physical examination and of medical care
and editions
.0200 may be obtained from the Office of
Administrative Hearings. P.O. Drawer 271 17. ^
Raleigh. — North — Carolina — 27611. — (W^ ^
733 2678. at a cost of x\\o dollars and fifty
cents (S2.50) at the time of adoption of this
Rule. A copv is available for inspection in the
Children's Services Section. N.C. Division of
Social Services. Albemarle Building. 325
North Salisbury Street. Raleigh. North Carolina
27603.
fh) Each member of the child care staff shall be
able to — recognize — common — symptoms of
illnesses in children. The child care staff shall
be alert to any infectious condition of the
children and shall take proper precautions to
prevent the spread of such condition.
fe^ The child care staff shall be able to provide
home — nursing — eafe^ A — sterile — clinical
thermometer shall be kept available for use.
When appropriate, arrangements shall be made
for isolation and attendant care of a child with
a communicable disease.
-fd^ Medicines shall be stored in a separate cabinet.
closet or box not accessible to children.
{^ Medical Records. Each child shall have a personal
452
NORTH CAROLINA REGISTER
September 1, 1998
13:5
PROPOSED RULES
given while the child is in care. — The latter shall
include — a — record — of hospitalizations. — allergies-
significant illnesses or accidents and treatment given.
Authorin- G.S. 131D-I0.5: 143B-153.
.0706 DENTAL PROGRAM
The institution shall have a planned program of dental care
and dental health which shall be followed for each child in care:
fH Routine Care and Treatment
(ft) Arrangements shall be made with one or more
licensed dentists for the dental care of the
children.
-fb) Each child shall have a dental examination at
least once a year and treatment as indicated.
(3^ — Dental Records. Included in a child's medical record
shaH — be — a — dental — record — indicating — dates — ef
examination and treatment.
Authorin- G.S. 131 D. Art. lA: 143B-153.
snacks are milk, fresh fruits and vegetables, cheese, peanut
butter, nuts, popcorn, crackers, and occasionally, cookies.
(c) Menus shall be planned and written b\ or in consultation
with a registered nutritionist or dietitian. When food services are
not directed by a nutritionist or dietitian, who is defined as a
graduate of a school of home economics or dietetics, periodic
consultation with a registered nutritionist or dietitian shall be
implemented. — Records of consultations and recommendations
shall be maintained by the facility.
(d) Menus shall be planned and written at least one week in
advance to insure the meeting of nutritional needs and to give the
basis for purchasing to meet these needs.
(e) Children and staff members who eat with them shall be
served the same food except for tea and coffee, unless
differences in age or special dietary needs are factors.
Authority- G.S. 131D-10.5: 143B-153.
SECTION .0800 - PRIVATE INSTITUTION
BUILDINGS: EQUIPMENT AND SAFETY
.0707 ROUTINE HEALTH CARE AND
PERSONAL HYGIENE
(a) — Staff shall routinely apply general infection control
.0801 CONSTRUCTION
(a) Construction plans for new. reconstructed or renovated
buildings shall be compatible with the child care function of the
procedures which shall include but not be limited to Universal institution and its program needs. A child caring institution shall
Precautions specified by the Centers for Disease Control. U.S. not offer in the same building two different types of occupancy
Department of Health and Human Services. Public Health or programs of care.
Services. Atlanta. Georgia which is incorporated by reference (b) All local and state building codes and zoning regulations
including subsequent amendments and editions. A copy of that shall be complied with in the construction of a new child caring
document ma>' be obtained from the National AIDS Information institution, in the conversion of an existing building for child
Clearinghouse. P.O. Box 6003. Rockville. Mar\land 20850.
I 800 458 5231. at no cost for a single copy at the time of the
adoption of this Rule. A copy is available for inspection in the
Children's Services Section. N.C. Division of Social Senices.
Albemarle Building. 325 North Salisbur> Street. Raleigh. North
Carolina 27603.
fb) — Children shall bo taught and helped to develop good
caring institution purposes, and in the remodeling of an existing
child caring institution.
.Authority G.S 131D-10.5: 143B-153.
.0802 REQUIREMENTS FOR APPROVAL
fa) — Preliminarv and final construction plans for all new
health care. Each child shall have enough sleep for his age at buildings and of all conversions shall be submitted to and
regular and reasonable hours and under conditions conducive to approved by the Department of Human Resources, division of
facilitv — services. — construction — section
prior
to bes
(c) Children shall receive training in all aspects of personal construction. Four sets of construction plans and specifications
hygiene. They shall be taught and helped to keep themselves
shall be forwarded to the Department of Human Resources
{4) Each child shall have his ovsn clearly identified division of facility' services, construction section for distribution
toothbrush, comb, towel and wash cloth and his own separate to and review by the Division of facility services, the Division
of Social Services, the Division of health services, and the
Department of Insurance, engineering division.
(b) If a question arises as to whether an existing building used
for child caring institution purposes meets the requirements of
the North Carolina State Building Code, an interpretation can be
obtained by submitting a floor plan of the building together with
details of construction to the Department of Human Resources,
division — of facility' — services. — construction — section — or by
requesting an on site visit by a member of the staff.
place for keeping these personal articles. Towels, face cloths,
and bed linens shall be changed as frequently as necessarv to be
clean.
Authority- G.S 131 D. Art. lA; 143B-153.
.0708 NUTRITION
fa) — Nutritious foods shall be provided in the variet> and
amounts necessarv' to meet the National Research Council's
recommended daily dietarv' allowances. Special diets shall be
planned to meet any modified food needs of individual children. Authority- G.S. 13 ID. Art. I A; 143B-153.
(b) Nourishing snacks shall be provided and may be part of
the daily food needs, but they shall not replace regular meals.
Snacks are to be recorded on the regular menu. Recommended
.0803 GENERAL REQUIREMENTS
All buildings to be used for child caring institution purposes
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453
PROPOSED RULES
shall meot the requirements of the North Carolina State Building
Code. — which — i^ — adopted — b^ — reference — pursuant — to G.S.
1 50B I 1(c). for the t\pe of occupancv for which the building is
to be used:
(4^ Institutional Occupancy. Residential care facilities for
10 or more children who are dependent, neglected,
abandoned, destitute, orphaned, delinquent, and not
involuntarily detained shall meet requirements for
Institutional Occupancy unrestrained in Vol. I Section
400 and Vol. I C (handicapped requirements) of the
North Carolina State Building Code.
(3-) Residential Occupancy
with the North Carolina State Building Code. Volume I. Section
720 in which six or more children reside.
(j) All electrical and heating installations shall be approved b\
the local building inspection department and the electrical v\ iring
in the building shall conform with the requirements stated in
Volume IV of the North Carolina State Building Code.
Authority G.S. 131D-10.5: 143B-153.
.0805 GENERAL SANITATION
(*) — Proper facilities shall be provided throughout the
institution's buildings and premises to enable compliance with
(af-
(fef-
All residential care facilities keeping as many as 6 accepted sanitation standards. — The water suppK. sewerage
and less than — 10 children who are dependent. disposal, solid waste disposal, food service, and other facilities
neglected. abandoned. destitute. orphaned.
delinquent or children who are separated temporarily
from their parents shall meet group A "special
occupancy requirements" in Section 520 of Chapter
V of the North Carolina State Building Code.
All residential care facilities keeping no more than
five children shall meet the North Carolina Uniform
Residential Building Code. Mobile homes are not
allowed for child caring institution residences.
Authorities. I31D-I0.5: N3B-153.
.0804 FIRE SAFETY
(a) Children and staff shall be instructed on t'lre prevention.
(b) Care shall be exercised by the staff in allowing children to
use matches, or to handle inflammable or combustible materials.
(c) Fire evacuation plans shall be developed and posted in
each building.
(d) Fire drills shall be held periodicalK for both children and
staff, at least quarterK.
(e) The staff and children residing in an institution shall be
trained in properK reporting a fire, in extinguishing a small fire,
and in escaping from a fire.
(f) For every 2.500 square feet of floor area and for each floor
there shall be at least one fire extinguisher. Fire extinguishers
4e4-
accordance with the standards of the
shall meet applicable rules and regulations of the Division of
health services:
m Institutional Occupancy. — Each building providing
care or food service to 13 or more children shall
meet the requirements of "Rules Governing the
Sanitation of Hospitals. Nursing and Rest Homes.
Sanitariums, and Educational and Other Institutions"
prepared by the Department of Human Resources,
division of health services, sanitary engineering
section.
(3^ Residential Occupancy. — Each building providing
care or food service to no more than 12 children
shall meet the requirements of "Residential Care
Facilities" for not more than 12 residents prepared
by the Department of Human Resources, division of -
health — services. — sanitary — engineering — section. W
Acceptable facilities include:
(tV) — a — properly — operating — domestic — dishwashing
machine, or
(ft) — immersion for at least one minute in clean hot
water at a temperature of at least 170 degrees
Fahrenheit or hotter or
{Gj — immersion for at least two minutes in clean water
to which has been added enough chemical sanitizer
to provide at least 50 parts per million of available
chlorine or 12.5 parts per million of available
iodine.
snail be provi
National Fire Protection Association standard number 10. Thev
shall be inspected regularU and kept charged and filled at all (b) To assure compliance with all local and state sanitation
regulations, construction plans for a new child caring institution
times in accordance with National Fire Protection Association
standard number 10.
(g) Fire exits, that is. doors, hallwavs. and stairs, shall be well
lighted, kept clear and ready for instant use. No locks shall be
installed on exit and on room doors which would prevent
occupants from getting out by the simple operation of a single
knob or lever — Emergence lighting shall be provided where
required for greater safet\ in exiting the building.
(h) A manual fire alarm or signal system shall be installed in
eaeh — child — caring — institution — residence which — is audible
throughout the building, kept in working order and readily water for everv six children, one toilet for every six children, and
residence, renovation of an existing building for child caring
institution purposes, and reconstruction of an existing child
caring institution shall be submitted to and approved b\ the
counts health department in which the facility is locatedr
.Authorities. 131D-I0.5: 143B-153.
.0806 BATH AND TOILET FACILITIES
(a) There shall be not less than one lavatory with hot and cold
identified b\ the staff and the children.
one tub or shower for everx' eight children. In addition there
(i) Automatic smoke detectors shall be installed in each child shall be a minimum of one tub and one toilet and one lavatory in
caring institution residence in accordance with the North
Carolina Uniform Residential Building Code Volume 1 B.
Section 35 in which up to five children reside and in accordance
each building in which children live.
(b) There shall be separate toilet and bathing facilities for staff
vsho live in the child care residences.
454
NORTH CAROLINA REGISTER
September I, 1998
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PROPOSED RULES
Authorit}- G.S. 13JD-10.5: 143B-153. Resources, division of social services, prior to the expiration of
the current license.
.0807 SLEEPING FACILITIES (c) Full License. A full license to operate a child caring
{a) — Each child care residence developed after the effective institution will be issued for one year when a license study
date of these standards shall provide in each bedroom a indicates the institution complies with the minimum standards
minimum of 80 square feet of floor space for each occupant for child caring institutions.
except that a bedroom for one occupant shall provide a minimum (d) Provisional License. A provisional license to operate can
of 100 square feet. be issued for a period of time up to six months when a license
(fe) — In existing residences each bedroom shall provide a study indicates the institution needs additional time to comply
minimum of 60 square feet of floor space for each occupant with particular requirement(s). — A provisional license for an
except that a bedroom for one occupant shall provide a minimum additional period of time to meet the same requirement(s) will
except inai a oeoroom lor one oci
of 80 square feet of floor space.
(r'\ TvJn rhilH i;hfill ahnrp n hcHi
not be issued.
(c) No child shall share a bedroom with a staff member. fe) — Termination of License. — A license to operate a child
(d) Each child shall have a bed of his own. not less than 30 caring institution will not be renewed when the institution does
inches wide nor shorter than his height. Beds shall be at least not comply with the minimum standards for child caring
three feet apart at the head, foot and sides, and double decker institutions after suflTicient time is allowed in the judgment of the
beds, shall be at least five feet apart. Each bed shall be provided staff of the Department of Human Resources for the institution
with springs, a mattress in good repair and adequate bed to correct areas of operation which are below standard,
covering. No day bed. convertible sofa or other bedding of a fB — Revocation of License. — A license to operate may be
temporary nature shall be used.
(o) Bedrooms shall be equipped with closet and drawer space
for storage of clothing and other personal belongings.
revoked if the child care institution is in violation of the
minimum licensure standards and is malting no efforts to correct
the deficiency.
Authority G.S. 13ID-10.5: 143B-153.
AuthormG.S. 131D-10.5: 143B-153.
.0808 HEAT, LIGHT, AND VENTILATION
fa) — Heating facilities shall be provided that will keep the
temperature in living quarters of the institution within a
comfortable range, not lower than 62 degrees Fahrenheit during
the day and 55 degrees Fahrenheit during the night. — Special
attention shall be given to heating bathrooms above these
minimum temperatures.
SECTION .1000 - PUBLIC INSTITUTION
ORGANIZATION AND ADMINISTRATION
.1001 DEFINITIONS
(a) A "child caring institution" is a residential care facility
utilizing permanent building located on one site for 10 or more
children who are dependent, neglected, abandoned, destitute.
fb-) — Natural light shall bo available in every room used by orphaned, delinquent, or otherwise in need of care away from
children and staff Window areas shall not be less than 110 of
the floor area of each room.
(c) Adequate ventilation shall be available in everv' room in
the institution which is used by children and staff
Authority G.S. I31D-I0.5: 1438-153.
.0809 INSPECTIONS
The institution shall request and secure inspections at least
annually from the local sanitarian and from the local building
inspector or fire inspector. Reports of such inspections shall be
submitted to the Department of Human Resources.
Authority G.S. 131 D. Art. lA: 1433-153.
SECTION .0900 - PRIVATE INSTITUTION
LICENSING INFORMATION
.0902 LICENSE
(a) Application for a new license to operate a child caring
institution is made to the Department of Human Resources,
division of social services, prior to the first child being accepted
for full time care.
(b) Application for renewal of a license to operate a child
caring institution is made to the Department of Human
their own home and not held in detention. — The purpose of a
child caring institution is to provide foster care and related
services for children who are unable to live in their own homes.
Exception can be made when no more than two group homes
located on one site and licensed as meeting group homes for
children standards are operated by a county department of social
services or by a private program licensed to provide child care
or child placement services.
fb) — The "director" is the person who is in charge of the
facility, developing and supervising its program of care and
services.
(c) "Children." in addition to children up to age 18. includes
persons residing in and under the care of the institution who are
18 to 21 years of age. — Children of staff members are not
included.
(d) Public Institution. A public institution is an institution, as
well as the property in it. which is held, used or controlled by
any unit of government, state, county or municipal. — These
standards do not apply to state institutions for the mentally
handicapped or to state institutions for the detention of juveniles.
(e) Private Institution. A private institution is an institution
which is chartered b\ the Secretary of the State of North
Carolina as a private corporation.
Authorit\G.S 131 D. Art lA: 143B-153.
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September 1, 1998
455
BHSBuasa
PROPOSED RLLES
.1002 PLRPOSE
An> unit 0*1 government vshich operates a child caring
fe-) — Financial accounts of the institution, x^hich are audited
annualK. shall be maintained in accordance with designated
institution shall do so pursuant to its statutorx powers, duties. accounting procedures for the governmental unit operating the
and authoritN. — The pur
the public institution shall be institution. A cop\ of the annual budget and a copx of the audit
clearK detlned and shall include the geographical area to be shall be submitted each >ear to the Department of Human
served, the children who will be accepted for care and the
ser\ ices to be provided for these children and their families.
Aiithorin-G.S. 131 D. An. I A: 143B-153.
.1004 LOCATION
The institution shall be located available to schools, churches.
Resources.
Authority G.S. I31D-10.5: 143B-153.
.1007 STAFF: GE.NERAL
The institution shall provide the staff and services necessarv to
ensure the proper care and safet\ of children in care of the
hospitals, clinics, mental health services and recreational institution. Staff members who live with children in care of the
facilities. The location shall prov ide safe and ample plav grounds
for children in an area conducive to their health and well being.
Authorities. 1 31 D. Art. I A: 143B-153.
.1005 GOVERNING BODY
The unit of government which operates a child caring
institution shall do one of the following:
Operate the institution as a lino department: or
fa4
institution or prepare their food shall have a health examination
w ithin at least six months before beginning work and biennially
thereafter — Such examinations shall include tests necessarv to
determine that the staff member is free from communicable
diseases and able to earn: out assigned duties.
Authority G.S. 131D-10.5: 1438-153.
.1008 THE DIRECTOR
(a) There shall be a full time director to supervise the program
of care and sen ices of an institution licensed for 20 or more
children, and a director at least part time for an institution
licensed for less than 20 children.
(b) The Director shall have education, training, and experience
that qualifies him for planning, administering, and supervising
a residential child care program.
areas served bv the institution vsho represent the fe4 — A director appointed after the effective date of these
standards shall have a degree from an accredited four vear
college or universin and shall have at least two vears of work
Assign responsibilitv for governing the institution to
an existing board: or
^ Create a board of directors to govern the institution:
(4) Composition of a board created to govern the
mstitution:
The board shall be made up of individuals of various
occupations and experience from the geographical
(W-
interests of both the constituencv sponsoring the
institution and that which it serves or plans to serve:
The board shall have a minimum of five members.
(^
(^
experience, one of which was in a supervisor) capacirv. in the
Meetings of the Board of Directors. — Either the full field of child vselfare services, health services, education,
board or its executive committee (or equivalent) shall
meet at least quarterlv. — Permanent records shall be
maintained of all meetings of the governing board and
the executive committee:
-Th^
: authc
governing autnorirv for the institution shall adopt
regulations for the operation of the institution and
shall ensure that the institution complies with those
regulations.
Authority G.S. 131D-10.5: 1438-153.
.1006 FINANCES
(a) The institution shall have funds established to meet the
costs of carrving out its defined purposes and prov iding proper
care and services for the tvpe and number of children accepted,
(b't A budget shall be approved bv the governing board prior
to the beginning of each fiscal vear showing sources and
amounts of income and prov iding for:
f+4 salaries for required number of staff.
(5-) meeting the direct costs of care for the number and
tvpe of children accepted.
(5^ maintenance of the phvsical plant.
f4^) meeting the cost of anv proposed expansion or
replacement.
psvchologv. social services, religious education, or other allied
profession.
fd-) — The Director shall be in charge of the operation of the
institution, prov iding at least quarterlv reports for the gov eming
authoritv on all phases of its operation. The Director shall have
the following responsibilities:
f-H Interpreting established standards of child care and
initiating and carrving out a sound program in
accordance vsith these standards:
(^-) Preparing the institution's budget in collaboration
with — those — persons — w4#i — designated — fiscal
responsibilities: The budget shall be presented to
the board for approv ah
(5^ Ensuring that all purchases are made in accordance
with procurement policies of the governmental unit:
The Director shall secure approval for items not
authorized in the budget:
{4) Emploving and discharging all members of the
institution's staff within the personnel policies of the
governmental unit:
(-?-) Holding staff meetings at regular intervals and
discussing plans and policies with the staff:
Providing and promoting a program of education for
(4i-
the continued training and development of the staff:
456
\ORTH CAROLISA REGISTER
September L 1998
13:5
PROPOSED RULES
T)w — Director — shaH — be — responsible — fer — the
effectiveness and efficiencv of the staff:
(d) Child care staff shall be no younger than 18 years of age.
(e) Each child care worker shall be provided inservice training
^ Establishing and maintaining cooperative working and qualified, competent supervision in the areas of home
relationships with other social agencies in the
community — and — interpreting — the — institution's
program:
(«^
management, child rearing, family life education, sound health
practices and health maintenance, and food preparation and
nutrition when meals are prepared in the living units by the child
care workers.
-The — Director — shaH — have — responsibility' — fer
administration. — social — services. — the — child — eare
program and the physical plant of the institution with Authorit}' G.S. 131D-I0.5: 143B-153.
delegation of actual work in these areas as is
appropriate:
(9) The Director shall delegate authority to a qualified
staff member during his absence from the institution: available to assure that the operation and maintenance of the
.1012 MAINTENANCE STAFF
There shall be a sufficient number of maintenance
itaff
{W) The Director shall be responsible for making all
employees aware of the Child Abuse and Neglect
Reporting — taw — an^ — establishing — a — reporting
procedure.
Authority G.S. 131D-10.5: 143B-153.
.1009 SUPERVISORY STAFF/PROFESSIONAL
SERVICES
(a) The Departmental heads, unit directors, supervisors, and
other management staff shall be qualified by education, training,
and experience for the particular job responsibilities to which
they are assigned.
(¥) — The institution shall have available those professional
services which assure appropriate care for children. — Such
professional services shall include those of doctors and dentists,
nurses, social workers, psychologists, psychiatrists, dietitians,
health educators and teachers.
Authorit\' G.S. 131D-10.5: I43B-153.
institution shall not be dependent upon the work of the children
in care.
.Authorities. 131D. Art. I A: 143B-153.
.1013 PERSONNEL POLICIES
(a) The institution shall have written personnel policies and
shall adhere to the policies:
<44-
Job Descriptions. There shall be a current written
job description for each position which includes
qualifications for the position, the duties of the
position, and specifies to whom the employee is
responsible.
Leave. — The institution shall have a written policy
(^
which — provides — resident — staff — w+th — direct
responsibility for children a minimum of six 24 hour
days off duty each month. — They shall have some
free time off dutv each dav.
{^ Dismissal. There shall be a policy concerning the
discharge of employees which includes a grievance
procedure,
(b) Living quarters shall bo provided for all staff whose job
responsibilities require them to live within the institution.
.Authority G.S 131D-I0.5: 143B-153.
SECTION .1100 - PUBLIC INSTITUTION SOCIAL
SERVICES
.1101 STAFF
The institution shall have one or more qualified persons to
provide admission, residential, and discharge services to children
and their families. To be qualified, staff employed to provide
{b) — The ratio of child care staff who are employed by the social services after the effective date of these standards shall
institution to provide care and supervision for children shall be have a degree in a human service field from an accredited four
one for every ten children six years of age and older and one for year college or university. — They shall be familiar with
community resources for children and their families in addition
to the institution's services.
.1010 CLERICAL STAFF
The — institution — shaH — have — clerical — services — 1« — keep
correspondence, records, bookkeeping and files current and in
good order.
.Authority G.S. 131D. Art. I A: I43B-153.
.1011 CHILD CARE STAFF
(a) There shall be at least one child care worker assigned for
direct care and supervision to each living unit or group of
children at all times. It is recommended that both males and
females be employed as child care staff
every eight children younger than six years of age included in
the living unit. If a living unit has all ago children younger than
six years of age there shall be one child care worker for five
children. Staff included in the ratio are child care workers and
supervisors of child care. Relief staff are not included in the
^ ratio.
.Authority G.S 131D-10.5: I43B-153.
.1102 ADMISSION SERVICES
(c) Each member of the child care staff shall be selected on (a) Admission policies shall be clearly defined in writing and
the basis of his knowledge, experience, and competence required
in caring for children.
available to persons or agencies making inquiries. Admission
policies shall be carefully reviewed from time to time and
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September 1, 199H
457
PROPOSED RULES
changed a\, need;, and conditionii in the communitx change,
(b) Admission services shall be in accordance with the stated
.1103 RESIDENTIAL SERVICES
f*) — Each child in care shall have a qualified staff person
policies of the institution. Admissions shall be limited to those responsible for assisting him in making the best use of his stay
children who need care apart from their families and for vshom in the institution. — This shall include opportunities to talk
the institution is qualified by staff, program, facilities, and privately about his experiences living in the institution and to
express grievance. Professional ser\'ices shall be made available
services to give appropriate care.
fe) — Staff responsibility for decisions on admission shall be for children who need help in resolving personal or famih'
clearK established.
problems
(d) Decisions on admissions shall be based upon a study of the (b) Arrangements shall be made for staff to talk with parents,
total situation of the child and his particular needs. The study relatives. — er — representatives — ef — agencies — having — legal
shall be made prior to admission and shall — include all responsibility about an individual child's care and adjustment in
information which will enable a careful analysis of the
the institution
Mi
application to determine if the institution's program of care is
appropriate for the child.
(e) When parents or other relatives with legal responsibility
for a child appK for the child's admission, the institution shall
ascertain what community resources are available to keep the
child in his own home, such as Financial assistance, homemaker
services, day care ser\'ices. and other supportive ser\'ices.
County departments of social services, where requested, can visiting homes for children, the interests, needs, and welfare of
assist families in evaluating community resources available to each child shall be considered in arranging these visits. The
fe-) — Visiting policies for the institution shall be flexible to
allow parents, relatives, and friends to visit with children at least
twice a month.
(4) — No child shall be allowed to visit with anyone for
weekends, holidays, and vacations without the consent of the
person or agency having legal responsibility for him.
(e) If the institution uses private families in the community as
JSSIS
them
institutions shall assess each private family to be used as a
{f) — A public institution shall not accept legal custody of visiting home to determine if the family can provide proper care
and supervision for children,
(f) A reviev\ shall be made at least once a vear of each child
children. Children shall be accepted by written application
signed by the person or representative of the agency having legal
authority' to place the children. — Written agreements shall be in care to reassess his needs. The review is to identify what type
made setting forth the responsibilities of the institution and of of care and services are needed b\ the child, if he needs
the person or agency having legal authority for caring and continued care in the institution, or if his famih circumstances
planning for the child. Provision shall be made for continuing have changed and he can be returned to his home.
relationships between the institution, the legalK responsible
(g) When a child whose parents placed him in the institution
person or agency, and the child during the period of placement. no longer has his parents available to him due to their death, or
(g) The provisions of the North Carolina interstate placement
laws(G.S. 110 50 through 110 57 and 110 57.1 et. seq.) shall be
incapacity, or abandonment of the child, the institution shall
refer the matter to the county' department of social ser\'ices or
met when out of state children are being considered for court havingjurisdiction or to an attome\ with the request for a
admission or discharge. — North Carolina interstate placement legal guardian or custodian to be appointed for the child,
laws require the approval of the North Carolina Department of (+h) — When adoption is in the best interest of a child whose
Human Resources prior to placement of a child h\ an out of state parents are deceased or whose parents or other relatives cannot
agencs. Correspondence relative to admission, progress, and provide a home for him. referral for adoption services shall be
dischartie of children in custod\ of out of state a^icncies shall bo
routed through the North Carolina Department of Human
Resources, division of social services, as outlined in its
operational manual.
fh4 — No child shall be accepted in an institution without a
medical examination and a statement signed by a licensed
medical provider specify ing the child's current medical condition
and medications prescribed and indicating the presence of an\
discussed w ith the person or agenc\ representative having legal
responsibility for the child.
Aiirhorln-G.S. 131D-J0.1: 131D-10.5: 143B-I53.
.1104 DISCHARGE SERVICES
(a) Staff responsibilitv for decisions on discharging children
:learlv established. Children under 18 vears of age shall
communicable disease or medical condition which may pose a be discharged to the person or agenc\' having legal custody of
signitlcant risk of transmission in the facilitv.
the children. Insofar as possible, the release of each child shall
{¥t — In the event of emergency admissions, the required be planned with him and with the person or representative of the
admission procedures shall be completed within two weeks
following admission. If more than five percent of an institution's
agency having legal responsibilitv for him allowing time for
arrangements to be made for the child's care. In all cases, the
population are admitted on an emergency basis, in any 12 month decision to discharge a child and the child's decision to leave the
period, the institution shall provide an identifiable program for institution shall be made known to the person or agency having
the provision of emergency care in a living unit separate from legal responsibilits for the child and opportunitv provided for
other children in residence. discussion of this action.
(b) Children shall not be released and admitted to the care of
Aiifhorin- G.S. 13ID-10.5: 143B-I53. another institution or treatment facility without the knowledge
and consent of the person or agencv having legal authority for
458
NORTH CAROLINA REGISTER
September 1, 1998
13:5
PROPOSED RULES
placing the child.
Authority G.S. I31D-10.5: N3B-J53.
.1105 RECORDS
(a) The institution shall maintain case records for the purpose
efi
f4-) protecting the legal rights of the child, his parents
and legal custodian, and the institution:
(3) documenting the kinds of services rendered to a
child and his family; and
(^) providing a source of information about individual
children, as well as information for the institution in
planning its program of care and services.
(b) Case records shall include the following information for
each child:
fl-) completed application form signed by the person or
agency having legal authority to place the child:
(3) a pre admission study of the child and his family
situation, including an explanation of custody and
legal responsibility for the child as indicated by
parental — statements. — court — orders. — er — agency
agreements:
a verification of birthdate:
medical — consent — signed
-by — the — person — er
representative of the agency having legal custody of
the child;
(5^ agreements indicating the responsibilities of the
person or agency having legal responsibility for the
child and the institution in planning and caring for
the child: an explanation of why the child needs the
institution's care and what is going to be provided
for the child:
(6) agreements and consents for visits outside the
institution:
f?^ reports of the pre admission medical examinations.
including immunizations, and reports on all medical,
dental or psychological services provided while the
child is in care:
(*) a written summar\' prepared at least semiannually of
the review of the child's needs, his progress or lack
of progress — m — care. — changes — m — his — family
circumstances, and the objectives for the child's
(9) a — discharge — summar\' — indicating — date — aftd
circumstances of discharge and plan for care in the
community,
(c) The institution shall maintain a record of each request for
admission received during a current year, the action tolcen on the
request, and the disposition made.
Authorities. I31D-10.5; 143B-153.
.1106 REPORTS
The institution shall submit an annual report to the Department
of Human Resources on Form DSS 1813. annual report to the
Department of Human Resources, division of social services.
Authority^ G.S. 131 D. Art. lA: N3B-I53.
SECTION .1200 - PUBLIC INSTITUTION CHILD
CARE AND DEVELOPMENT
.1201 SOCIAL ASPECTS OF CARE
(a) The Child as an Individual
fH Each child shall be considered an individual
personality. He — shaH — be — given — appropriate
opportunities for grovvlh as a unique individual, for
learning on his own as well as in a group, for doing
things by himself, for himself, as well as with and
for others.
{3^ Efforts shall be made to give each child sufficient
individual attention and affection to compensate in
some degree for the regimentation of group living.
(5^ Each child shall have the opportunity to form
constructive relationships with staff of both sexes.
f4) Each child shall be allowed to experience ownership
and have his own place to keep his possessions.
(#) Each child shall have personal clothing and have his
own place to keep his clothing. He shall be allowed
to take part in selecting his clothing according to his
age and ability to do so. — When he leaves the
institution, he shall be allowed to take his clothing
with him.
(6) Each child shall be given the opportunity of learning
the value and use of money through earning,
spending, giving, and saving. Each child shall have
an allowance appropriate to his age to spend as he
wishes.
(b) The Child and His Family
fH ^Fhe — institution — shaW — provide — and — encourage
opportunities for each child to maintain contact and
visit with parents, siblings, and relatives both at the
institution and away from the institution insofar as
circumstances permit, and these contacts and visits
are approved by the person or agency having legal
responsibility for the child when other than the
natural parents.
(3^ No humiliating remarks about a child's parents.
relatives, or guardian shall bo made to the child or to
other children in the institution.
(c) TheChildand the Institution. Each child shall be assigned
to the care of a child care worker who shall be responsible for
assuring his daily care. Each child shall be given the opportunit>'
to discuss any personal concerns in confidence with his child
care worker.
(d) The Child and the Community
{4^ The institution shall make whatever efforts are
possible toward helping the children have normal
contacts in the community in which the institution is
located such as participation in school functions.
recreational
facilities
character building
(3f-
organizations. church youth groups, and part time
paid or volunteer jobs.
Children shall be encouraged to form friendships
with children outside the institution, to visit their
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459
PROPOSED RULES
friend^^ in the communit> and have their friends \ isit
them in the institution. Children shall hose access to
telephones to pro\ide them with opportunity to
maintain contact with friends and famil\ members,
(e) Discipline
Authority G.S. 131D-IU.5: 143B-153.
.1202 RECREATION
fa-) — The institution shall provide individual and group
recreational opportunities appropriate to the age. interests, and
fH The institution shall have clearly defined, written. needs of each child. — Suitable space and competent adult
reasonable disciplinary policies which are fair to direction shall be provided for both indoor and outdoor
recreational activities,
(b) The recreational program shall provide opportunities for
and assume responsibility for his own acts. These bov s and girls to plav together as well as separatelv. For older
children and staff. These policies shall be directed
at helping each child develop his own self control
Of-
policies shall include measures to protect children
from abuse.
Administration of discipline shall be an adult
responsibilit). No child or group of children shall
be allowed to punish another child.
children, a dating policy shall be established which will allow
them opportunities for developing social relationships with
others of their own age group in the institution and in the
communitv.
f3^ Requests made of children and standards set for Authority G.S. 131D-10.5: I43B-153.
their behavior shall be reasonable and within their
abilitv to achieve.
f4-) Children shall not be subjected to cruel, severe or
excessive punishment including, but not limited to.
phvsical abuse, verbal abuse, locked confinement.
deprivation of food, of mail, and of familv visits and
contacts,
(f) Work Assignments
.1203 EDUCATION
(a) The institution shall see that each child of school age is
provided an education in a public school or nonpublic school
which is operated in accordance with the public school laws or
with the nonpublic school laws of North Carolina.
(b) If a school is maintained and operated by the institution,
or an education program is operated by the institution which
f4^ Work assignments for children in the institution children attend in lieu of attending schools off campus, the
Rf-
{i¥
shall be planned for a child to have meaningful work
experiences and to develop good work habits and a
sense of responsibility.
Work assignments shall be made according to the
Children shall be
-en — theif — work
ages and abilities of children,
provided — adyk — supervision
assignments.
Work assignments shall not interfere with school.
recreation, studv periods, adequate sleep, community
contacts and visits v\ ith familv.
fW-
It is recommended that the North Carolina Child
Labor Law concerning age. hours of labor, and
prohibited hazardous occupations be complied with
in work assignments for children.
{^ Children shall not be substitutes for employed staff.
institution shall compK vsith N. C. General Statutes governing
nonpublic schools.
fe^ — Facilities shall be provided by the institution for home
studv and for reference books. — Provisions shall be made for
remedial assistance as indicated bv the needs of the children.
Authority G.S. 131D-10.5: 143B-153.
.1204 RELIGIOUS TRAINING
(a) Each child shall hav e opportunities for religious education
and to attend religious services.
fb^ — Each institution shall have clearK defined policies
regarding religious training and practices for the information of
those considering placement of children in the institution.
t^
They — shaH — net — be — required — te — earn — etH Authority G.S. 1 31 D-10.5: 143B-1 53.
responsibilities of staff.
An institution shall not require a child to work for
the purpose of paving the institution for his care,
(g) Exploitation
{\j No child shall be used in anv' wav- to solicit funds.
Neither shall he be identified in connection with
publicirv for the institution in an\ wax which will
bring him or his familv embarrassment. — Written
permission shall be obtained from the person or
agencv having legal responsibility for each child
before pictures or anv other means of identifying
children are used in publicirv or public relations
efforts of the institution.
(r3^ No child shall be forced to acloiowledge in public
his dependency on the institution or his gratitude to
.1205 MEDICAL PROGRAM
Medical Program. — The institution shall have a planned
program of medical care which shall be implemented and include
each child in care:
f-H Admission Requirement. Each child shall have had a
medical — examination — prior — te — admission. The
examination shall be reported in writing and specit\
any condition or defect the child might have and anv
medications prescribed.
f2^ Medical Care
fa^ Arrangements shall bo made with one or more
licensed medical phvsicians or medical clinics for
the medical care of the children.
fb-) Each child shall have a physical examination at least
once a vear and more often as needed. A child shall
not be allowed to participate in activ ities injurious to
46(1
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September 1, 1998
13:5
PROPOSED RULES
(€)-
(a)-
<^
his health. Any illness, disease or defect of a child examination and treatment.
shall be identified and treated promptly through
proper medical care. Children shall have psychiatric Authority G.S. 131D. Art. lA: 143B-153.
or psychological examination or both when indicated
and treatment when indicated.
The child care staff shall be instructed as to what
.1207 ROUTINE HEALTH CARE AND PERSONAL
HYGIENE
medical care may be given by them without specific (a) Children shall be taught and helped to develop good health
orders from a licensed medical physician. — They care. Each child shall have enough sleep for his age at regular
shall be instructed as to how and when to obtain
further care and how to handle emergencies.
and reasonable hours and under conditions conducive to rest,
(b) Children shall receive training in all aspects of personal
(^ Hospital Care. Arrangements shall be made with a hygiene. They shall be taught and helped to keep themselves
hospital for the admission of children from the
institution in the event of serious illness or emergency.
(4) First Aid. At least one member of the child care staff
on duty at any given time shall have taken a course in
first aid given by a qualified instructor and be able to
administer first aid. First aid kits shall be available.
{&^ Home Health Care
Each member of the child care staff shall be able to
recognize common symptoms of illnesses and
disturbances in children and to note any defects.
The child care staff shall be alert to any infectious
condition of the children and shall take proper
precautions to prevent the spread of such condition.
clean.
(c) Each child shall have his own clearly identified toothbrush,
comb, towel and wash cloth and his own separate place for
keeping these personal articles. Towels, face cloths, and bod
linens shall be changed as frequently as necessary to bo clean.
Authority G.S. 131D, Art. I A; 143B-153.
.1208 NUTRITION
fa^ — Nutritious, foods shall be provided in the variety and
amounts necessary to meet the National Research Council's
recommended daily dietary allowances. Special diets shall be
planned to moot any modified food needs of individual children.
(b) The child care staff shall be able to provide home (b) Nourishing snacks shall be provided and may be part of
nursing care. A sterile clinical thermometer shall be the daily food needs, but they shall not replace regular meals.
kept available for use. Arrangements shall be made Snacks are to be recorded on the regular menu. Recommended
for isolation and appropriate attendant care of a
child with a communicable disease.
Medicines shall be stored in a separate cabinet,
closet or box not accessible to children.
snacks are milk, fresh fruits and vegetables, cheese, peanut
butter, nuts, popcorn, crackers, and occasionally, cookies.
(e) Prescription drugs shall only be administered when (c) Menus shall be planned and written by or in consultation
approved — by — a — licensed — medical — physician. with a registered nutritionist or dietitian. When food services are
not directed by a nutritionist or dietitian, who is defined as a
graduate of a school of home economics or dietetics, periodic
Medical Records. Each child shall have a personal consultation with a registered nutritionist or dietitian shall be
implemented. Records of consultations and recommendations
shall be maintained by the facility.
institution, a record of his immunizations, consent for (d) Menus shall be planned and written at least one week in
advance to insure the meeting of nutritional needs and to give the
basis for purchasing to meet these noods.
(e) Children and staff members who eat with them shall be
served the same food except for tea and coffee, unless
differences in age or special dietary needs are factors.
Authority G.S. 131D-W.5: 143B-153.
SECTION .1300 - PUBLIC INSTITUTION
BUILDINGS: EQUIPMENT AND SAFETY
medical record which shall include the report of the
physician who examined him prior to admission to the
medical care signed by the person or representative of
the agency having legal custody of the child, a record
of each physical examination and of medical care
given while the child is in care. — The latter shall
include — a — record — of hospitalizations. — allergies,
significant illnesses or accidents and treatment given.
Any drug allergies shall be noted on the cover of the
folder containing the medical records.
Authority' G.S 131D-10.5: 143 B- 1 53.
.1206 DENTAL PROGRAM
The institution shall have a planned program of dental care and
dental health which shall be followed for each child in care:
W-
»
(3)-
Routine Care and Treatment
.1301 CONSTRUCTION
(a) Construction plans for new. reconstructed or renovated
buildings shall be compatible with the child care function of the
institution and its program needs. A child caring institution shall
(a) Arrangements shall bo made with one or more not offer in the same building two different types of occupancy
licensed dentists for the dental care of the children. or programs of care.
(b) Each child shall have a dental examination at least (b) All local and state building codes and zoning regulations
once a year and treatment as indicated.
Dental Records. Included in a child's medical record
sbaH — be — a — dental — record — indicating — dates — ef
shall be complied with in the construction of a new child caring
institution, in the conversion of an existing building for child
caring institution purposes, and in the remodeling of an existing
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461
PROPOSED RULES
child caring institution.
AuihirliyG.S. I3ID-I0.5: I43B-I53.
.1302 REQUIREMENTS FOR APPROVAL
(a) PreliminaPv' and final construction plans for all new
(d) Fire drills shall be hold periodically for both children and
staff, at least quarterly.
(e) The staff and children residing in an institution shall be
trained in properly reporting a fire, in extinguishing a small fire,
and in escaping from a fire.
(0 For every 2.500 square feet of floor area and for each
buildings and of all conversions shall be submitted to and floor, there shall be at least one fire extinguisher. — F4fe
approved by the Department of Human Resources, division of extinguishers shall be provided in accordance with the standards
facility services, construction section prior to beginning of the National Fire Protection Association standard number 10.
construction. Four sets of construction plans and specifications They shall be inspected regularly and kept charged and filled at
shall be forwarded to the Department of Human Resources,
division of facilitv services, construction section for distribution
all times in accordance with National Fire Protection Association
standard number 10.
to and review by the Division of facility services, the Division (g) Fire exits, that is. doors, hallways, and stairs, shall be well
of Social Services, the Division of health services, and the
Department of Insurance, engineering division.
(b) If a question arises as to whether an existing building used occupants from getting out by the simple operation of a single
for child caring institution purposes meets the requirements of knob or lever. — Emergency lighting shall be provided where
the North Carolina State Building Code, an interpretation can be required for greater safety in exiting the building,
obtained by submitting a floor plan of the building together with
details of construction to the Department of Human Resources,
division — of facility — services. — construction — section — or by
requesting an on site visit by a member of the staff.
Authority G.S. ISlD.Art. I A: I43B-153.
.1303 GENERAL REQUIREMENTS
All buildings to be used for child caring institution purposes
shall meet the requirements of the North Carolina State Building
Code which is adopted by reference pursuant to G.S. 1 50B 1 4(c)
lighted, kept clear and ready for instant use. No locks shall be
installed on exit and on room doors which would prevent
(h) A manual fire alarm or signal system shall be installed in
each — child — caring — institution residence which — is — audible
throughout the building, kept in working order and readily
identified by the staff and the children.
(i) Automatic smoke detectors shall be installed in each child
caring institution residence in accordance with the North
Carolina Uniform Residential Building Code Volume 1 B.
Section 35 in which up to five children reside and in accordance
with the North Carolina State Building Code. Volume 1 . Section
720 in which six or more children reside.
(j) All electrical and heating installations
shall be approved by
for the tvpe of occupanc\ for which the building is to be used: the local building inspection dopartmont and the electrical wiring
in the building shall conform with the requirements stated in
Volume IV of the North Carolina State Building Code.
Institutional Occupancy. Residential care facilities for
10 or more children who are dependent, neglected.
abandoned, destitute, orphaned, delinquent, and not
involuntarily detained shall meet applicable group I Aitthorit}- G.S. 131D-10.5: 143B-153.
institutional requirements in Vol. I Section 409 and
(Sf-
Vol. 1 C (handicapped requirements) of the North
Carolina State Building Code.
Residential Occupancy
.1305 HEALTH ASPECTS
{it) — General Sanitation. — Proper facilities shall be provided
throughout the institution's buildings and premises to enable
(») All residential care facilities keeping as many as six compliance with accepted sanitation standards. — The water
and less than — 10 children who are dependent. supply, sewerage disposal, solid waste disposal, food service.
and other facilities shall meet applicable rules and regulations of
the Division of health services:
(4^ Institutional Occupancy. — Each building providing
care or food service to 13 or more children shall
meet the requirements of "Rules Governing the
Sanitation of Hospitals. Nursing and Rest Homes.
Sanitariums, and Educational and Other Institutions"
prepared by the Department of Human Resources,
division of health services, sanitary engineering
section.
(3^ Residential Occupancy. — Each building providing
care or food service to no more than 12 children
neglected. abandoned. destitute. orphaned.
delinquent or children who are separated temporarily
from their parents shall meet group A "special
occupancy requirements" in Section 510 of Chapter
V of the North Carolina State Building Code.
{h) All residential care facilities keeping no more than
five children shall meet the North Carolina Uniform
Residential Building Code. Mobile homes are not
allowed for child caring institution residences.
AiilhorliyG.S. 131D-10.5: I43B-153.
.1304 FIRE SAFETY
(a) Children and staff shall be instructed on fire prevention.
(b) Care shall be exercised b\ the staff in allowing children to
use matches, or to handle infiammable or combustible materials.
fe^ — Fire evacuation plans shall be developed and posted in
each building.
shall meet the requirements of "Residential Care
Facilities" for not more than 12 residents prepared
b\ the Department of Human Resources, division of
health — services. — sanitary — engineering — section.
Acceptable facilities include:
(A) — a — properly — operating — domestic — dishwashing
462
NORTH CAROLINA REGISTER
September 1, 1998
13:5
PROPOSED RULES
machine, or
(B) — immersion for at least one minute in clean hot
minimum temperatures,
(b) Natural light shall be available in evor>' room used by
water at a temperature of at least 170 degrees children and staff Window areas shall not be less than 1/10 of
(€>-
the floor area of each room.
(c) Adequate ventilation shall be available in ever>' room in
the institution which is used by children and staff.
Authorises. I31D-10.5: 143B-153.
.1309 INSPECTIONS
The institution shall request and secure inspections at least
residence, renovation of an existing building for child caring annually from the local sanitarian and from the local building
institution purposes, and reconstruction of an existing child
caring institution shall be submitted to and approved by the
county health department in which the facility is located.
fahrenheit or hotter, or
immersion for at least two minutes in clean water
to which has been added enough chemical sanitizer
to provide at least 50 parts per million of available
chlorine or 12.5 parts per million of available
iodine,
(b) To assure compliance with all local and state sanitation
regulations, construction plans for a now child caring institution
Authority G.S. 131D-10.5: 143B-153.
.1306 BATH AND TOILET FACILITIES
(a) There shall be not less than one lavatory with hot and cold
water for everv' six children, one toilet for every six children, and
one tub or shower for every eight children. In addition, there
inspector or fire inspector Reports of such inspections shall be
submitted to the Department of Human Resources.
Authority G.S. 131 D. Art. lA: 143B-153.
SECTION .1400 - PUBLIC INSTITUTION
LICENSING INFORMATION
.1402 LICENSE
(a) Application for a new license to operate a child caring
shall be a minimum of one tub and one toilet and one lavatory in institution is made to the Department of Human Resources
each building in which children live.
(b) There shall bo separate toilet and bathing facilities for staff
who live in the child care residences.
.Authority G.S 131D-10.5: 1438-153.
.1307 SLEEPING FACILITIES
division of social ser\'ices. prior to the first child being accepted
for full time care.
(b) Application for renewal of a license to operate a child
caring institution is made to the Department of Human
Resources, division of social services, prior to the expiration of
the current license.
(e) — Full License. — A full license to operate a child caring
(a) Each child care residence developed after the effective institution will be issued for one year when a license study
date of these standards shall provide in each bedroom a indicates the institution complies with the minimum standards
minimum of 80 square feet of floor space for each occupant for child caring institutions
except that a bedroom for one occupant shall provide a minimum
of 100 square feet.
(d) Provisional License. A provisional license to operate can
be issued for a period of time up to six months when a license
except mai a oeoroom lor one oc(
of 80 square feet of floor space.
i-(^ — \]n philrl r.hnll (shnrta n htaHi
<%) — In existing residences each bedroom shall provide a study indicates the institution needs additional time to comply
minimum of 60 square feet of floor space for each occupant with particular requirement(s). — A provisional license for an
except that a bedroom for one occupant shall provide a minimum additional period of time to meet the same requirement(s) will
not be issued.
(c) No child shall share a bedroom with a staff member (e^ — Termination of License. — A license to operate a child
(d) Each child shall have a bed of his own. not less than 30 caring institution will not be renewed when the institution does
inches wide nor shorter than his height. Beds shall be at least not comply with the minimum standards for child caring
three feet apart at the head. foot, and sides: and double decker institutions after sufficient time is allowed in the judgment of the
beds shall bo at least five feet apart. Each bed shall be provided staff of the Department of Human Resources for the institution
with springs, a mattress in good repair and adequate bed to correct areas of operation which are below standard,
covering. No day bed. convertible sofa or other bedding of a fft — Revocation of License. — A license to operate ma>' be
revoked if the child caring institution is in violation of the
minimum licensure standards and is making no efforts to correct
the deficiency.
Authority G.S. 131D-10.5: 143B-153.
temporary nature shall be used.
(e) Bedrooms shall be equipped with closet and drawer space
for storage of clothing and other personal belongings.
A uthorit\' G.S 131D-10.5: 143B-1 53.
.1308 HEAT, LIGHT, AND VENTILATION
fa) — Heating facilities shall be provided that will keep the
temperature in living quarters of the institution within a
comfortable range, not lower than 62 degrees fahrenheit during
the day and 55 degrees fahrenheit during the night. — Special
attention shall be given to heating bathrooms above these
SUBCHAPTER 41 R - LICENSING STANDARDS:
RESIDENTIAL CAMPS PROVIDING
FOSTER CARE FOR CHILDREN
SECTION .0100 - LICENSING STANDARDS:
RESIDENTIAL CAMPS PROVIDING
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463
PROPOSED RULES
FOSTER CARE FOR CHILDREN
.0101 APPLICABILITY
fa-) — The rule^ in this Subchapter shall apply to all persons
licensed or seeking licensure to a children's camp as defined in
evaluation. — schedule — planning, — water — safet\ — and — crisis
intervention. — Records of such training will be kept on file,
which would include the date, the subject, mothod of training,
and the name of the person(s) who conducted the training.
fft — A children's camp shall employ personnel who arc
G.S. 13 ID 10.2(5). The purpose of these Rules is to assure, to responsible for supervising the staff who provide day by day
the extent possible, that the child served in the camp will receive guidance to each child to ensure the continued training and
quality care; and. to allow the ma.ximum amount of fle.xibility for
individual programs to exist with different program designs,
philosophies regarding dealing with changing behavior, and
children's population.
(b) A full license shall be valid for a period not to exceed 12
months.
development of such staff in the discharge of their assigned
duties.
fe^ — Persons licensed to provide foster care at either a
peirnanent camp site or in a wilderness setting shall admit no
child less than 10 years of age and the duration of an admission
shall not exceed 12 months. No child shall be readmitted within
six months of the date of discharge.
(d) A camp for children with either behavior problems or in
conflict with the law is a residential facility that utilizes a
therapeutic camping environment to carry out a preventive and
rehabilitative process.
Author in- G.S. 1 31 D- 10.5.
.0102 ADMINISTRATION AND ORGANIZATION
fa^ — Children's camps providing foster care at either a
(g) First aid training is required for all counseling staff as
follows:
f-H First aid training received must be documented in the
files for all group counselors and their supervisors;
(3-) First aid training must be conducted by a certified
instructor or a licensed professional; and
(^) First aid training must be current. — Certificates or
statements of training must be contained in the camp
files and all first aid training is to be updated every
three years,
(h) Water safetv' activity training is required for all counseling
staff as follows:
fH all group counseling staff and their immediate
supervisors shall have successfully completed the
5t€ — rescue — and — water — safetv — course. — with
fea
permanent camp site or in a wilderness sotting shall comply with
the administrative and organizational requirements set forth in
lONCAC'llN.
(b) The Director of the children's camp shall be no younger
than 2 1 — years of age. have a bachelor's degree, from an
accredited four year college or university and shall have at least
two years of work experience, one of which was in a supervisory provided by the camp to address the needs of the population
capacity in the field of child welfare services, health services. served. The document shall include a description of the camp's
certification documented in the camp files; and
(3^ basic rescue and water safety training shall be updated
every three years.
.Authority G.S. 1 BID- 10. 5.
.0103 PROGRAM REQUIREMENTS AND
SERVICES
fa) — The camp shall have a written description of services
plan for family involvement and for the provision of services.
making it clear which services are provided directly bv the camp
(c) Counselors shall be at least 21 years of age and shall be and which are provided in cooperation with either family or
education, psychology, social services, religious education or
other allied profession.
are provided in cooperati
community resources.
(b) The written description of the camp's plan shall be utilized
in providing daily activities and structures for meeting the
physical, social, emotional, educational and developmental needs
of children in care.
(e) — The camp shall designate the staff responsible for
planning, implementing, and evaluating its various program
insure the health and safety of each child in care. The camp activities and functions and its arrangements for groupings of
children in care.
(d) The camp shall designate the staff responsible for periodic
assessment of each child's progress in care and for determining
required prior to assuming the position and annually thereafter
to present a medical statement from a licensed medical provider
that verifies no communicable disease or specific illness which
may pose a significant risk of transmission in the Facilits. The
statement shall be written based upon examination not more than
six months prior to employment.
{4) — The children's camps shall provide staff necessary' to
shall meet the qualifications outlined as follovs's:
f4^ — there shall be at least one counseling staff member on
duK for everv eight children in residence; and
f3-) during sleeping hours, the counselors shall be located when changes need to be made in the child's plan of care.
so that no child will be out of calling range.
(e) The camp shall specif, who is authorized to admit and
(e) At least 15 hours of in service training shall be provided discharge children. Prior to the admission of a child, the camp
annually for all staff working directly with the children.
shall secure documentation of the child's legal custody and shall
Training shall be specific to the assigned duties of staff and bo admit the child only upon written agreement signed by the
designed to improve work vsith children in areas such as
behavior management, communication and relationship skills,
education, problem solving, first aid. meal preparation, trip
planning. — using — communits — resources. — goal — setting — and
person or agency representative having the legal authoritv' to
place a child.
ff) — Each child shall have a medical assessment, within 60
days prior to admission. — indicating the child's ability to
464
NORTH CAROLINA REGISTER
September I, 1998
13:5
PROPOSED RULES
participate in the activities and specifidng the child's current
medical condition and medications prescribed and indicating the
presence of any communicable disease or medical condition
which may pose a significant risk of transmission in the facility'.
(g) The camp shall not accept a child for care until an intake
study has been made by the assigned staff person and it has been
determined that the needs and the best interests of the child and
his family or custodian can be met through the camping program.
{h^ — The camp shall establish clearly written admission
policies and procedures which shall be available, upon request,
to the public.
of admission for each child and documented in the child's case
file, including:
fH — goals stated in specific, realistic, and measurable
terms;
(3^ — plans that are action oriented, including who on the
staff is responsible for the child to reach specific
goals, and how the staff will act in order for the goals
to be met; and
(3^ — goals and plans written in cooperation with the child
and his family and his legal custodian.
(m) — The child's service plan shall be based upon the
(i) Admission to the camp must be limited to the number of assessment of the child and the family's needs and the reasons
children for whom the camp is licensed and types of children for that the child's foster care needs can best be accommodated in
whom a camp setting is imperative. Only those children who the camping environment.
need care, individual attention and supervision apart from their
(n) The plan shall be reviewed at least every three months to
families and for whom the camp is qualified by staff, program. determine the child's and family's progress or lack of progres
facility, and services shall be admitted.
towards meeting the goals and objectives, and to determine
(j) Prior to the admission date, the camp shall document the changes that need to be made in the plan.
following in writing for each child:
f4^ — who has legal custody;
(3^ — who will be financially responsible for the support
and medical and dental care of the child;
(5) — how the family and legal custodian will participate in
the program;
(4) — how phone calls, letters, and visits will be arranged;
{&^ — how clothing, allowances, and gifts for the child will
be handled;
{6) — written consent fi'om the child's legal custodian for the
child to participate in activities that the camp will be
planning for the child away fi'om the camp area; and
f?) — a written agreement, signed prior to the day of
a written agreement, signed prior to the day ot {^
admission by the camp staff, the child, parent and {&}
(o) Children's camps shall maintain complete, accurate, and
current case records on each child receiving ser\'ice.
(p) The case record shall include at least the following:
fH a complete application for service, signed by the
person or agency having legal custody, which includes
at least the following:
(A) — the name, address, race. sex. religion, birth
date, and place of birth of the child;
(©^ — the name, address, telephone number, and
marital status of the parent or legal custodian,
siblings, grandparents, and other significant
individuals to the child;
{G) date of admission and source referral; and
4«gal — custodian. — which — specifies — w+te — wtW — be
responsible for planning and implementing goals
while the child is in the camping program,
(k) The camp shall establish written discharge policies and
procedures which will include at least the following:
fH — giving prior notice to the parent or custodian when a
child is scheduled for discharge:
(3) planning with the child and his parent or legal
custodian for his discharge, giving the opportunity for
discussion and after care planning;
f3^ discharging children under 18 who have not been
legally emancipated only to the person or agency
having legal custody of the child:
(4) notify'ing the legal custodian promptly in the event a
child leaves the camp for any non scheduled purpose
all documents related to the referral of the child
to the camp, including social, family, medical.
educational, and other pertinent history that
was used in making a decision to admit the
child to the camping program.
{2) copies of legal documents such as birth certificates,
court dispositions, placement agreements;
(5-) — a copy of the child's service plan which is kept current
by the assigned staff and documentation of the efforts
made by the camp designated staff person to enable
the client to reach the agreed upon goals;
f+) results of all medical examinations, psychological
examinations, and other essential information; and
(5) — a summary supporting the reasons for discharge or
termination fi'om the program,
(q) All information in the case record must be considered
such as medical emergency or runaway. Procedures privileged and confidential and shall be released only when the
shall be developed for handling such non scheduled parent or legal custodian has signed a consent to release
departures and for determining how the child will information form.
return to the program; and
{&j — documenting in the case record the circumstances
leading to discharge, the reason for discharge, who
requested the discharge, the progress that had been
made toward realizing the goals, and to whom the
child was discharged.
(+) — Written intervention goals and plans for implementing
services to each child in care will be developed within 30 days
(r) During the period of service for the child, the case record
shall document service and educational experiences provided
and the child's response, especially:
(+) observations of response to individual goals and plans
and individualized educational plan recorded with
significant frequency to enable evaluation of their
efficiency;
{¥j reports of the review, evaluation and change in the
13:5
NORTH CAROLINA REGISTER
September I, 1998
465
PROPOSED RULES
individualized — service — ptei — afid — individualized
education plan, which are to be done at least everv
three months:
{¥) summaries of parent conferences:
camp for all staff and children.
(h) Gasoline, kerosene, and other tiammable materials shall
be stored in covered safe containers plainly labeled as to content.
f^ — All power tools, including mowers and trimmers, must
(4^ records of services provided, especially medical and have the necessary' safety devices and be used according to
dental services:
f^^ records of significant behavior incidents:
{^ records of time away from camp: and
f?) — updates of any change in admission data.
(s) The camp shall make every effort to enhance and expand tools shall be stored in a locked place not occupied by children.
<j-) — Fire extinguishers must be available in all areas so
manufacturer's instruction, maintained in good repair, and used
only by those persons experienced in the safe use of power tools.
When campers are using such equipment, a trained and
responsible adult must be present. When not in use all power
the family's relationship with the child, and to facilitate positive
communication between them in accordance with the child's
sor\'ice plan.
(t) The camp shall provide conditions of reasonable privacy
for planned visits and telephone contacts between the child and
family, friends, and significant others.
(u) There must be a minimum of 2 counselors certified in
Basic — Rescue — and — Water — Safety — for each — 1-0 — children Authority G.S. 131 D-10. 5.
participating in any on property activity involving water, such as
swimming, boating, canoeing, and rafting. — Off property, the
ratio shall be 3 counselors for each 10 children for trips of 21
hours or more. At least one counselor shall be certified in CPR
bv the American Red Cross.
designated by fire safety officials and shall be properly charged
and have a current inspection label.
(k) Each permanent camp site must be annually inspected by
the local health department and local Fire marshal: and all
violations must be corrected.
.0105 TRANSPORTATION
(a) Vehicles shall be driven only by those persons who have
a valid driver's license.
fb) — Open body or stake bed vehicles shall not be used to
(v) An itinerary shall bo on file at camp for any activity for transport children outside the confines of the camp grounds.
more than 24 hours that is off of camp property, which shall
include names of those participating, daily schedule, listing of
check in points, routes to be taken, and telephone numbers of
emergency resources along each route (sheriffs, hospitals, rescue
squads).
Author it}- G.S. 131 D-10. 5.
.0104 FACILITIES
(a) — All sleeping units must provide at least the following
space:
fH 30 square feet per person:
(2) — 6 feet between heads of sleepers when beds are in a
head to head configuration: and
side by side configuration,
(b) All camper sleeping facilities shall be
(c) There must be at least 1 qualified staff member, other than
the driver, in any vehicle transporting more than 9 individuals,
including the driver.
fd^ No more individuals may be transported in any
automobile, bus. or van than there are seats in the vehicle.
fe-) — Children shall not be transported for more than 4
continuous hours without a minimum of a 1/2 hour rest stop.
(0 Children shall not be transported in a vehicle for more
than 10 hours in any 24 hour period of time.
Author It}- G.S. 13 ID- 10. 5.
.0106 DAILY LIFE
(a) Emergency medical care must be provided by an on call
imited to one level
30 inches between sides of beds when beds are in a physician, nurse, emergency medical technician, or a person who
is otherwise duly certified.
fb) — All children's camps must be within 60 minutes of
structures. emergency medical treatment.
(c) The children's camp must have clearly defined, written
disciplinary policies. These policies shall be directed at helping
<daeh — child — develop — his — ewn — self control — and — assume
(c) Any structure, sleeping or otherwise, with an occupancy
of more than 12 persons, including staff, shall be provided with
at least 2 separate and independent means of exit.
(d) Open flame lighting or use of combustible materials such responsibilir\ for his own acts. — Administration of discipline
as lamp oil or kerosene shall not be used in sleeping shelters for shall be an adult responsibility. No child or group of children
either lighting or heating.
(e) There shall be potable water available at each camp site.
ff) — At each children's camp there shall be provided a
minimum of:
H-) 1 shower head for each 20 children:
(3-) 1 flush toilet for each 20 children:
shall be allowed to punish another child.
(4) — Children must not be subjected to cruel, severe or
excessive discipline including, but not limited to. ph>sical abuse-
verbal abuse, locked confinement, physical restraint, deprivation
of food, of mail and of family visits and contacts.
(0) Children must have at least 3 meals available each day.
0) 1 urinal for each 30 male children (urinals ma\ not be plus nourishing snacks. The camp shall prepare written menus
substituted for flush toilets): and
f4-) 1 handwashing facility, adjacent to toilet facilities, for
each 20 children,
(g) Laundrv' facilities or equipment shall be available at each
on at least a weekly basis. Such menus shall be on file for at
least 12 months. — When food services are not directed by a
registered nutritionist or dietitian, the person who directs food
services must obtain consultation from a registered nutritionist
466
NORTH CAROLINA REGISTER
September 1, 1998
13:5
PROPOSED RULES
or dietitian on an annual basis.
(f) Children must have a daily change of clothing available-
including socks, underwear, and outer clothing suitable to
weather conditions.
(g) Children must have the availability^ of being able to bathe
at least once each day.
(h) Each child must be required to brush his teeth at least
once a da>.
(i) There must be a minimum of 1 counselor certified in first
aid training for each 10 children participating in any organized
activity, such as hiking, vehicular touring, swimming, canoeing,
boating, and rafting.
AuthorinG.S. 131D-10.5.
.0107 EDUCATION
(a) — Each camp must provide an alternative education
experience and the educational program shall compK with the
appropriate — requirements — ef — the — Department — of — Public
Instruction; or. each camp must bo registered as and meet the
requirements for a non public school.
(b) Education in a camp setting must be experiential and shall
be monitored and evaluated pursuant to either public or
non public school educational testing requirements to determine
the child's achievement level.
Authority G.S. 1310-10.5.
SUBCHAPTER 41S - MINIMUM LICENSING
STANDARDS FOR RESIDENTIAL CHILD CARE
SECTION .0100 - GENERAL LICENSING
REQUIREMENTS
.0101 LICENSING ACTIONS
(a) License.
( 1) A license is issued when the Department of Health
and Human Services determines that the residential
child-care facility js jn compliance with minimum
licensing standards.
A license mav remain in effect for one year.
A license is automatically provided a 90 day grace
period at the expiration date of the license.
If licensure materials are submitted after the license
t2J
i4J
expires, but within the 90 day grace period, a license
may be issued for one year from the expiration date of
the previous license,
(b) Changes in any information on the license.
(1) A license mav be changed during the period of time it
is in effect if the change is in compliance with
minimum licensing standards for residential child care
facilities.
(2) A license may not be changed during the 90 day grace
period.
(3) A residential child-care facility must notify the
Children's Services Section in writing of its request
for a change in license, including such information as
is necessary to assure that the change is in compliance
with minimum licensing standards.
(c) Termination.
( 1 ) When a residential child-care facility voluntarily
discontinues child caring operations, either
temporarily or permanently, the Children's Services
Section must be notified in writing of the date, reason
and anticipated length of closing.
(2) If a license is not renewed by the end of the 90 day
grace period, the license is automatically terminated.
(d) Adverse Licensure Action.
( 1 ) Denial, suspension or revocation, of a license may
occur when a residential child-care facility is not in
compliance with minimum licensing standards and it
is determined that compliance cannot be accomplished
within established time limits.
(2) The decision to deny, suspend or revoke a license is
reached through administrative processes within the
Department of Health and Human Services.
(3) A residential child-care facility shall be notified in
writing of the decision to deny, suspend or revoke a
license.
(4) Appeal procedures specified in 10 NCAC 41 A .0007.
WAIVER OF LICENSING RULES AND APPEAL
PROCEDURES, are applicable for persons seeking
an appeal to the Department's decision to deny,
suspend or revoke a license.
Authority G.S. 131D-10.5: 143B-153.
.0102 LICENSING PROCESS
(a) Application. The application phase of the licensing
process shall bring the persons applying to provide residential
child care under the jurisdiction of the licensing statute and shall
provide an opportunity for the applicant to explore and
understand requirements.
( 1 ) Application for a license to operate a residential child
care facility must be made to the Department of
Health and Human Services. Division of Social
Services, prior to tjie first child being accepted for
full-time care.
(2) Application for renewal of a license to operate a
residential child care facility must be made to the
Department of Health and Human Services. Division
of Social Services, prior to the expiration of the
current license.
(b) Investigatory Phase. During the investigatory phase, the
Division of Social Services. Children's Services Section staff
shall focus on obtaining knowledge of the proposed program and
projected methods of operation. For proposed private and public
residential child-care facilities, the Division of Social Services.
Children's Services staff, together with those seeking licensure,
shall be responsible for completing this phase. For agency
residential child-care facilities, the supervising agency shall be
responsible for completing this phase.
(c) Decision Regarding Licensure. All the required licensure
materials must be received and reviewed relative to licensure
standards, policies, and procedures by the Division of Social
13:5
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September 1, 1998
467
PROPOSED RULES
Services. Children's Services Section staff prior to issuance of
a license to operate.
Authority U.S. I3ID-10.5: N3B-153.
SECTION .0200 - MINIMUIVI LICENSURE
STANDARDS
.0201 DEFINITIONS
(a) Case Plan. A vvritten document which describes the social
and child welfare services and activities to be provided by the
county department of social services in the Family Services Case
Plan and/or other state and local agencies for the purpose of
achieving a permanent family relationship for the child.
(b) Child Caring Institution. A residential child-care facility
utilizing permanent buildings located on one sjte for 10 or more
foster children. Exception can be made when no more than two
group homes located on one site and licensed as meeting
licensure regulations for group homes are operated by a county
department of social services, county government or by a private
agency licensed to provide residential child care or child placing
services.
(c) Children's Foster Care Camp. A residential child-care
facility which provides foster care at either a permanent camp
site or in a wilderness setting.
(d) Direct Service Personnel. Staff responsible for the direct
services provided to children and their families including, but
not limited to. child care workers, residential counselors,
house/teaching parents, social workers, recreation and education
staff.
(e) Director. The person who is in charge of the agency and
who is responsible for developing and supervising the program
of residential child care and services.
(f) Emergency Shelter Care. Twenty-four hour care provided
in a residential child care facility for a period not to exceed 90
days, in accordance with 10 NCAC 41T .0400.
(g) Family Time. Specific period arranged for a child who
resides in a residential child care facility to spend with kin either
on-site at or away from the residential child care facility.
(h) Foster Child. An individual less than 18 vears of age who
has not been emancipated under the provisions of Article 56 of
G.S. 7A. or one who is 18 to 21 vears of age and continues to
reside m the residential child-care facility, who is dependent,
neglected, abandoned, destitute, orphaned, delinquent, or
otherwise in need of care away from home and not held in
detention.
(i) Group Home. A residential child-care facility operated
either under public or private auspices which receives for 24
hour care no more than nine children. This number includes the
care givers' own relatives residing in the home under the ages of
18. The composition of the group shall include no more than
two children under the age of two, four children under the age of
six, and six children under the age of 12^ A group home shall
not provide day care, nor shall it be available to adults in the
community who wish to rent rooms.
liJ Individualized Service Plan. A written document which
describes a child's needs, goals and objectives in a residential
child care facilitv and the direct services staff tasks and
assignments to meet a child's and family's needs, goals and
objectives.
(k) License. Permission granted in writing to a corporation,
agency or county government by the Department of Health and
Human Services to engage in the provision of full time child care
or child placing activities based upon an initial determination.
and annually thereafter, that such corporation, agency, or a
county government has met and complied with minimum
standards set forth in this Subchapter.
(1) Full License. A fuli license is issued for one year
ill
when all minimum licensing requirements are met.
Provisional License.
tAJ
m
A provisional license is issued for a maximum
of six months enabling a facility to operate
while some below standard component of the
program is being corrected.
A provisional license for the same below
standard program component cannot be
renewed.
(ij Private Residential Child-Care Facilitv: A residential child
care facility under the control, management and supervision of
a private non-profit or for-profit corporation, sole proprietorship
or partnership which operates independently of a licensed child
placing agency or any other residential child care facilitv. A
residential child care facility under the auspices of a licensed
child placing agency or another private residential child care
facility shall be considered a private agency residential child care
facility.
(m) Public residential child care facility. A residential child
care facility under the control, management and supervision of
a county government or county department of social services. A
residential child care facility under the auspices of a county
department of social services shall be considered a public agency
residential child care facility.
(n) Visiting Resource. Volunteers from the community
whose homes children visit on the weekends, holiday or
vacations.
(o) Volunteer. Person working for an agency who is not paid.
Authority- G.S. 1310-10.5: 143B-153.
.0202 RESPONSIBILITY TO LICENSING
AUTHORITY
(a) The residential child-care facility shall annually submit to
the licensing authority the required infomiation and materials to
document compliance and to support issuance of a license.
(b) The residential child-care facility- shall submit to the
licensing authority an annual statistical report of program
activities.
(c) The residential child-care facility shall provide written
notification to the licensing authority of a change in the director.
(d) The office of a residential child care facility shall be
maintained within the geographical boundaries of North
Carolina from which the activities carried out under the North
Carolina license are handled.
(e) The current license of a residential child care facilitv shall
be posted at all times in a conspicuous place within the facility.
46H
NORTH CAROLINA REGISTER
September I, 1998
13:5
PROPOSED RULES
(f) When there is a report alleging abuse or neglect jn a
residential child-care facility, the director or his designee shall
immediately notify the licensing authority.
(g) The residential child-care facility shall submit to the
licensing authority a report on the circumstances of the
allegation and results of the investigation of the allegation of
abuse or neglect This report, along with other information, shall
be reviewed and evaluated by the licensing authority and used jn
consultation and technical assistance to the residential child-care
facility to improve services to protect children in placement in
the residential child care facility.
(h) The residential child-care facility shall have and follow
policies and procedures for handling any suspected incidents of
child abuse or neglect involving staff. The policies and
procedures must include:
(1) A provision for reporting any allegations of abuse or
neglect to the appropriate county department of social
services for investigation in accordance with G.S. 7A-
543.
(2) A provision for recording any suspected incident of
abuse or neglect and for promptly reporting it to the
executive director or to the governing body or
advisory board.
(3) A provision for promptly notifying the licensing
authority of any allegations of abuse or neglect of any
child in care.
(4) A provision for preventing a recurrence of the alleged
incident pending investigation.
(5) A provision for written notification to the licensing
authority of any findings of such an investigation of
child abuse or neglect, specifying only whether there
was substantiation or unsubstantiation of the case.
Authority G.S. 131D-10.5: 143B-153.
.0203 SUBSTANTIATIONS OF NEGLECT
AGAINST THE FACILITY
(a) When there js a substantiation of neglect against the
residential child care facility, a corrective action plan shall be
submitted by the director to the licensing authority' Section
within 30 days of the substantiated report.
(b) Following the receipt of the corrective action plan,
licensure staff shall have the option to make one unannounced
on-site visit to the facility within the 30 days following the
receipt of the corrective action plan.
(c) Licensure staff shall have the option to make subsequent
onsite visits at varying frequencies and times throughout the
ensuing year to determine that the corrective actions have been
implemented.
Authorities. 131D-I0.5: 143B-153.
.0204 LICENSURE PROCEDURES
(a) Private Residential Child Care Facility Licensure
Procedures.
(1) The following materials shall be submitted to the
Department of Health and Human Services during the
application phase:
(A) Articles of Incorporation;
(B) Bylaws; and
(C) Governing board list
with addresses.
occupations and classes on the board, including
officers and terms of officers, if applicable.
(2) The following materials shall be submitted to the
Department of Health and Human Services during the
investigatory phase before an initial license can be
issued:
(A) License Application and Summary.
(B) Program policies and procedures stating the
purpose, outlining admission criteria, as well as
defining areas of responsibilities for services
which the facility will assume for children in
care and for services to be provided by the
referring agency or individual, and discharge
criteria.
(O Description of the child care program and
evaluation method.
(D) Program forms.
(E) Budget outlining anticipated costs and sources
of revenue for the first year of operation.
(F) Personnel policies.
(G) Organizational chart.
(H) Job descriptions.
(1) Staff resumes.
(J) Full and part-time staff work schedules.
(K) Medical examinations on full and part-time
direct-care personnel and any relatives jn the
home. The medical examinations must be
completed by a licensed medical provider
within six months prior to the license date.
(L) Fire and Building Safety Inspection Report (for
fewer than seven residents, for seven to nine
residents or K) or more residents), completed
and approved by the county building inspector
or fire marshal.
(M) Inspection Form for Residential Care Facilities,
completed and approved by the county
sanitarian.
(N) Floor plan indicating room dimensions, usage
of each room, window and door locations and
sizes and method of heating.
(O) Written approval from the Division of Facility
Services for a design capacity of seven to nine
residents or 10 or more residents.
(3) Department of Health and Human Services staff shall
make one or more visits to the residential child care
m
facility to complete the licensing study.
Based on information obtained during
the
15J
investigatory phase. Department of Health and Human
Services staff shall evaluate the residential child care
facility's proposed program and methods of operation
to determine compliance with minimum licensure
standards for residential child care facilities.
Department of Health and Human Services staff shall
notify the residential child-care facility in writing of
the licensure decision, conditions of the license and
13:5
NORTH CAROLINA REGISTER
September I, 1998
469
PROPOSED RULES
any recommendations regarding the child care
program.
(b) Licensure Procedures for Private Agency. Public Agenc\
and Public Residential Child Care Facilities
( 1 ) The following materials shall be submitted to the
Department of Health and Human Services before a
license can be issued:
(A) License Application and Summary.
(B) Program policies and procedures stating
purpose, outlining admission criteria, as well as
defining areas of
responsibilities and discharge criteria.
(C) Description of the child care program and
evaluation method.
(D) Program forms.
(E) Budget outlining anticipated costs and sources
of revenue for the first year of operation.
(F) Job descriptions.
(G) Staff resumes.
(H) Full and part-time staff work schedules.
(I) Medical examinations on fuH and part-time
direct care personnel and any relatives in the
home. TTie medical reports must be completed
by a licensed medical provider within six
months prior to the license date.
(J) Fire and Building Safet\ Inspection Report (for
fewer than seven residents, seven to nine
residents, or 10 or more residents), completed
and approved bv the count\ building inspector
or fire marshal.
(K) Inspection Form for Residential Care Facilities-
completed and approved bv the county
sanitarian.
(L) Floor plan indicating room dimensions, usage
of each room, window and door locations and
sizes and method of heating.
(M) Written approval from the Division of Facility
Services for a design capacit\ of seven to nine
residents or 10 or more residents.
(2) Department of Health and Human Services staff shall
notify the residential child-care facilit\ in writing of
the licensure decision, conditions of die license, and
any recommendations regarding the child care
program.
(c) Licensure Procedures Following First Year of Operation.
(1) Prior to the license expiration date, the Department of
Health and Human Services shall notify the residential
child care facilit\ in writing of the licensure renewal
requirements.
(2) The follovving materials shall submitted to the
Department of Health and Human Services before a
license for a residential child care facility can be
renewed:
m
m
ih
{£}
License Application and Summary.
Governing board list, with addresses,
occupations and classes on the board, officers
and terms of office, if applicable.
Budget outlining anticipated costs and sources
of revenue of the next operating year, with
estimation of daily cost of care per child for
past year.
Annual Information Report on Children.
Biennial medical reports on full and part-time
direct care personnel staff and any relatives in
the facility. These physicals must be
completed bv a licensed medical provider.
Health Questionnaire on the year when the
physical examination is not required.
Fire and Building Safety Inspection Report (for
fewer than seven residents, seven to nine
residents, or 10 or more residents), completed
and approved by the county building inspector
or fire marshal.
Inspection Form for Residential Care Facilities.
completed and approved by tlie county
sanitarian.
Updated or revised materials to include, but not
limited to. policies, procedures, forms, or
amendments to Bylaws or Articles.
Independent annual financial audit, if a private
residential child care facility.
(3) With the exception of residential child care facilities
which are accredited by the Council on Accreditation.
the Department of Health and Human Services staff
shall annually conduct onsite visits to private
residential child-care facilities and conduct desk
reviews of the licensure materials of a private agency,
public agency or public residential child care facilities
to determine if minimum licensure standards for
residential child care facilities continue to be met.
(4) For residential child care facilities which are
accredited by tlie Council on Accreditation.
Department of Health and Human Services staff shall
conduct onsite visits to these residential child care
facilities Department of Health and Human Services
and the Council on Accreditation.
Authority G.S. 131D-10.5: 143B-153.
SECTION .0300 - ORGANIZATION AND
ADMINISTRATION
.0301 GOVERNANCE
(a) Charter: A private residential child care facility shall
operate under a charter of incorporation filed with the
Department of the Secretary of State. The charter shall have a
statement of purpose which describes the geographic area to be
served- kinds of children to be admitted, and tlie range of
services to be provided, an official copy of which shall be
submitted to the licensing authority.
(b) Governing Body: A private residential child care facility
shall have a governing body which exercises authority over and
has responsibility for its operation, policies and practices.
( 1 ) The governing body shall be:
(A) a board of directors in the case of a non-profit
or for-profit corporation:
470
NORTH CAROLINA REGISTER
September 1, 1998
13:5
PROPOSED RULES
m
commissioners or appointed officials of a
governmental unit;
a proprietor in case of a sole proprietorsiiip; or
(D) partners in case of a partnership.
(2) In the case of a non-profit or for-profit corporations.
the governing body shall:
(A) be composed of no fewer than six members to
include men and women with varying abilities,
experience, and cultural backgrounds:
provide for a system of rotation for board
members, for limitation to the number of
consecutive terms a member may serve;
establish standing committees;
provide orientation for new members; and
meet at least twice annually.
(3) The governing body or executive committee shall
meet at least quarterly with a quorum present.
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AuthohtvG.S. 131D-10.5: 143B-153.
.0302
RESPONSIBILITIES OF THE GOVERNING
BODY
The governing body shall:
£JQ adopt administrative, personnel, and program policies
which are reviewed at least every two years;
(2) review and approve a budget prior to the beginning of
the fiscal year;
(3) establish and periodically review policies on
fundraising and investment management and obtain
professional assistance and consultation as needed;
(4) annually review and formally accept the financial
audit;
(5) employ a chief executive officer (director, executive
director, president, superintendent) and delegate
authority to that person to employ and dismiss staff,
implement board policies, and manage day-to-day
operation of the facility:
(6) permit the chief executive officer or designee to
attend all meetings of the governing body and
committees with the exception of those held for the
purpose of reviewing his performance, status, or
compensation:
(7) annually evaluate and document the chief executive's
performance through specific criteria and objectives;
initiate and review an annual evaluation of services
(8}
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(10)
Authority G.S. 13 ID- 1 0.5: 143B-I53.
.0303 FINANCES
(a) Fiscal Management: The chief executive officer shall:
( 1) implement sound financial practices in order to
prepare and periodically review the budget, and to be
accountable to the community; and
(2) report to the governing body at least quarterly or more
(bj Audit:
LJU An
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frequently, as requested, on present financial status
and anticipated problems.
The residential child care facility shall:
(A) have a sound plan of financing which assures
sufficient funds to enable it to carry out its
defined purposes and provide proper care and
services for children;
(B) develop adequate resources and manage them
prudently in order to obtain the revenues that
support its programs and prevent the
interruption of needed care and services to
clients
have a written budget concerning income and
expenditures which serves as the plan for
management of its financial resources for the
program year;
annually analyze the comprehensive unit cost
of providing each service to monitor trends,
reflect current experience, use in contracting,
billing, and establishing a fee schedule, if a fee
schedule is utilized.
audit of the residential child care facility's
financial statements shall be performed annually by an
independent accountant approved by the governing
body or by the appropriate governmental auditing
authority.
A copy of the annual audit shall be submitted to the
licensure authority.
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and direct needed changes based on the evaluation;
annually review facility needs related to risk (2)
management; and
maintain a long range plan and review annually.
Authority G.S. I31D-10.5: 143B-153.
.0304 INTERNAL OPERATING PROCEDURES
The residential child care facility shall adopt and annually
review operating procedures for each administrative and
program area in order to effectively carry out its policies and
shall make the internal operating procedures available to clients,
families, and legal custodians.
Authority G.S. 131D-10.5: J43B-I53.
.0305 RECORDKEEPING AND REPORTING
(a) The residential child care facility's policy on
confidentiality shall:
(1 ) identify the individuals with access to or control over
confidential information;
£3}
specify that persons who have access to records be
limited to the client, the parent or legal custodian
when the client is a minor, and other authorized
personnel. These persons shall include auditing,
licensing, or accrediting personnel or those persons
for whom the agency has obtained a signed consent
for release of confidential information. An exception
shall be made in the case of an investigation of child
abuse or neglect by a county department of social
services; and
require that when client information is disclosed a
signed consent for release of information js obtained
13:5
NORTH CAROLINA REGISTER
September I, 1998
471
BBBH
PROPOSED RILES
on a consent tor release torrn.
(b) The residential child care facilit\ shall:
( 1 ) pro\ide a secure place for the storaae of records with
confidential information:
(2) inform emplosees. students, \olunteers and other
indi\iduals with access to confidential information of
the provisions of these regulations:
(3) ensure that, upon emploNment and whenever revisions
are made, staff sign a compliance statement which
indicates an understanding of the requirements of
confidentiality
(4) unless harmful, permit children to review their case
records in thie presence of facilit\ professional
personnel on tlie facilirv premises, in a manner that
protects the confidentialit^ of other famiK members
or other individuals referenced in thie record:
(5) in cases of perceived harm to the child, document in
writing any refusals to share information with the
child, parent or legal custodian:
(6) maintain a confidential case record for each child:
(7) maintain confidential personnel records for all
employees:
(8) maintain confidential records for all volunteers: and
(9) destroy in office a closed record in which a child has
been discharged for a period of three years or destroy
in office a record three years after a child has reached
age 18. unless included in a federal fiscal and or
program audit that is unresolved, then destroy in
office when released from all audits.
Authorities. 131D-W.5: 143B-153.
.0306 CLIENT RIGHTS
(a) The residential child care facility shall develop and
implement policies and procedures to protect the individual
rights and dignit^ of children and families.
(b) The residential child care facilit^ shall have a client's and
families' rights policv which includes that each child has the
right to:
( 1 ) privacy:
(2) be prov ided adequate food, clothing, and shelter:
(3) have access to family time and have telephone
conversations with family members, when not
contraindicated in the child's intervention plan or
individualized sen ice plan:
(4) hav e personal property and a space for storage:
(5) express opinions on issues concerning the child's care
or treatment;
(6) receive care in a manner that recognizes variations in
cultural V alues and traditions:
(7) be free from coercion with regard to religious
decisions. The facilit^ shall have a process to assure
that, whenever practical, the wishes of tlie parents
with regard to a child's religious participation are
ascertained and followed:
(8) not be identified in connection with publicit\ for the
facility which shall bring the child or tfie child's
family embarrassment: and
(9) not be forced to acknowledge in public dependency
on or gratitude to the facility.
(c) The residential child care facilit^ shall have a policy
which prohibits direct involvement tn a child in funds
solicitation for the facility.
(d) The residential child care facility shall have a policy
which prohibits the child's participation in any activities
involving audio or visual recording and research without the
voluntary signed, time-limited consent of the child and the
child's legal custodian.
Authorit}-G.S. 13ID-10.5: 143B-153.
.0307 GRIEVANCE PROCEDURES
(a) The residential child care facility shall provide to each
child and parents or legal custodian, upon admission:
( 1 ) a wTitten description of policies and procedures which
the child and his parent(s) or legal custodian follow to
register complaints:
information about client rights:
the process for appealing a decision or action of the
facility: and
the process for resolution of a complaint.
(b) Upon resolution of a grievance, the residential child care
facility shall maintain a copy of the complaint and the resolution
in the case record.
Authority- G.S. 131D-10.5: 143B-153.
SECTION .0400 - PERSONNEL
.0401 PERSONNEL POLICIES
The residential child care facility shall have written personnel
policies and procedures which shall be provided to all
employees. Revisions of all personnel policies shall be in
writing and provided to employees on a timeh basis. Policies
and procedures shall address the following areas:
( 1 ) Recruitment and hiring:
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Compensation structure and benefits:
Orientation plan for new employees:
Training and staff development:
Regulations regarding use of equipment and assets:
Notification of work schedule:
Description of leave policy, including time-off duty
for disciplinary actions for direct care staff:
Termination:
Operational procedures regarding grievances which
provide the opportunity and means to lodge
complaints and appeals:
Description of the process for revision of personnel
policies:
Annual evaluations:
Staff quarters and searches: and
Disciplinary measures.
Authorit\- G.S. 131D-10.5: 1438-153.
.0402
PERSONNEL DEPLOYMENT
472
NORTH CAROLINA REGISTER
September 1, 1998
13:5
PROPOSED RULES
The residential child care facility shall ensure that the
deployment of personnel supports the stated mission of the
facility.
(1) Job descriptions: There shall be a written job
description for each position, which includes duties,
responsibilities, qualifications, and to whom the
position is responsible. Job descriptions shall be
consistent with duties being performed.
The residential child care facility shall have
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procedures for annual evaluation of the work
performance of each employee which provides for
employee participation in the process.
The residential child care facility shall have an
organizational plan which delineates the number of
staff and levels of supervisors/managers, taking into
account the complexity and size of the workload of
each staff. The plan must demonstrate adequate
supervision of staff
Authority G.S. 131D-10.5: 143B-153.
.0403 PERSONNEL FILE
The residential child care facility shall maintain a personnel
file for each employee which includes the following:
(T) The application for employment including the record
of previous employment;
Documentation of at least two references and a
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(10)
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(13)
criminal record check:
Medical information required for each staff by
licensure standards;
Signed confidentiality agreement if applicable;
Position specific credentials/certifications;
Record of completed orientation and ongoing staff
development;
Annual perfonnance evaluations;
Documentation of disciplinary actions;
Documentation of grievances filed;
Employee's starting and termination dates;
Reason for termination;
Signed and dated release or notation of employee's
waiver of release for future employment references;
and
Documentation of a driving record check, if
applicable.
Authority G.S. 13 ID- 1 0.5: 143B-I53.
.0404 PERSONNEL QUALIFICATIONS
(a) Criminal Records Check. Applicants, employees or
volunteers who have a history of criminal convictions that would
adversely affect their capacity and ability to provide care, safety
and security for the children in residence shall not be permitted
to provide direct child care. A signed statement shall be
obtained attesting that the applicant, employee or volunteer does
not have such a record prior to providing direct child care.
(b) Child Abuse. Employees or volunteers who have a
criminal conviction of child abuse shall not be permitted to
provide direct child care.
(c) Driver's License. Employees or volunteers driving a
residential child care facility vehicle must possess a valid
driver's license appropriate for the type of vehicle used.
Authority G.S. 131D-10.5: N3B-I53.
.0405 PERSONNEL POSITIONS
(a) Director There shall be a flill time director for an agency
with one or more facilities licensed for 20 or more children. At
a minimum, there shall be a part-time director for an agency with
one or more facilities licensed for less than 20 children.
(1) Qualifications. A director shall have management
skills that enable the effective utilization of the
residential child care facility's human and financial
resources and the coordination of the facility's
services with those provided by other community
resources.
12}
Responsibilities and functions. The director shall:
(A) Be responsible for the general management and
administration of the residential child care
facility in accordance with
licensmg
requirements and policies established by the
governing board;
Interpret licensing standards, established child
care standards and the residential child care
facility's services to the board, the facility's
constituency, other human service agencies and
the public;
Initiate and carry out the program of residential
child care as approved by the governing board;
Report to the governing board on all phases of
operation at least quarterly;
Delegate authority and responsibility to
qualified staff to ensure the maintenance of the
residential child care facility operations;
Establish and oversee fiscal practices, present
the annual operating budget and quarterly
reports to the governing board;
Evaluate, at least annually, the training needs
of the staff; plan and implement staff training
and consultation to address identified needs;
Employ and discharge staff and meet on a
regular basis with administrative and
management staff to review, discuss and
formulate policies and procedures; and
Supervise all staff responsible to the director's
position and conduct an annual written
evaluation which shall contain both a review of
job responsibilities and goals for future job
performance.
(b) Clerical. Maintenance and Other Support Personnel. The
residential child care facility shall employ or contract qualified
personnel to perform all clerical, support and maintenance
duties.
(c) Business and Financial Personnel. The residential child
care facility shall employ or contract personnel to perform aH
business, accounting and financial functions.
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13:5
NORTH CAROLINA REGISTER
September I, 1998
473
PROPOSED RULES
(d) Direct Service Personnel.
( 1 ) Qualifications. Direct ser\ice personnel, hired after
the effective date of these Rules, shall:
(A) Be at least 21 \ears of aee:
(B) Have a high school diploma or have a
comparable educational certificate:
(C) Have education or experience to meet the
responsibilities of the job:
(D) Have a physical examination by a licensed
medical prov ider prior to assuming the position
and biennially thereafter. This examination
shall include a TB test, unless the medical
provider advises against this test. This
examination shall include a statement
indicating the presence of any communicable
disease yvhich may pose a significant risk of
transmission in the residential child care
facility. After the initial examination, the cost
of the physical examinations as required by
licensure shall be at the expense of the facility.
(2) Standards for direct service personnel jn the living
unit:
(A) There shall be at least one direct service
personnel assigned to everv 10 children 6 years
of age and older and at least one direct care
personnel assigned for every 5 children
younger than 6 years of age. Supervisory
personnel within voice range shall be allowed
to be included jn the child to staff ratio:
(B) There shall be provided qualified, adequate
supervision and training in the areas of but not
limited to. first aid & CPR. child development-
permanency planning methodology, group
management, preferred discipline techniques-
family relationships, human sexuality, health
care and socialization, leisure time and
recreation. \n addition, there shall be special
training provided appropriate to the needs of
the client population, including but not limited
to. training in child sexual abuse:
(C) There shall be qualified and adequate
supervision of food preparation and nutrition
vshen meals are prepared in the liv ing unit: and
(D) Other duties shall be specified in writing and
assigned in accordance with any specialized
services of the program.
(3) Standards for supervisory personnel:
(A) There shall be at least one supervisor for every
15 direct service personnel.
(B) Supervisory staff shall be selected on the basis
of the knowledge, experience and competence
required to manage direct serv ice personnel.
(4) Standards for other direct service personnel: For
residential child care facilities that employ staff as
social workers, the folloyyjng applies:
(A) There shall be at least one social worker
assigned for every 16 children and, for every
six social workers, at least one supervisor shaH
be assigned:
(B) There shall be provided qualified and adequate
superv ision and training in the areas of but not
limited to. child development, permanency
planning methodology, group dvTiamics. family
svEtems and relationships, and child sexual
abuse:
(C) There shall be familiarirv with community
resources for children and their families in
addition to the agency 's in-care services: and
(D) Other duties shall be specified in writing and
assigned in accordance vsith any specialized
services of the program.
Aiithohn-G.S. 131D-10.5: 143B-153.
.0406 AUXILIARY SERVICES PERSONNEL
The residential child care facility shall have available auxiliary
services provided by contract to supplement the program of care.
These service providers may include, but are not limited to.
consultants, contracted services for the program of care,
maintenance of the facilirv. and interns or students.
( 1) Consultants shall be qualified practitioners who are
recognized by applicable degrees, organizations and
appropriate licensing boards, if the residential child
care facility contracts y\ith consultants, the facility
shall document the consultants' credentials.
(2) Paid consultants shall not be in conflict of interest
with the residential child care facility in fact or
appearance. They shall have no direct or indirect
financial interest in the assets, transactions or serv ices
of the agency.
(3) Interns or students shall meet all of the requirements
stipulated for the position in which they are serving
with the exception of completed education and
experience. There shall be a written agreement
between the placing educational institution and the
residential child care facility specifying
responsibilities and supervision of tlie intern or
student.
Authorin-G.S. 131D-10.5: 143B-153.
.0407 VOLUNTEERS
The residential child care facility shall have a written
description of the specific responsibilities and the provision of
supervision of all volunteers. Volunteers shall:
( 1) Meet the personnel qualifications specified in 10
NCAC41S .0404.
(2) Meet the qualifications and implement the duties of
the position as specified.
(3) Be provided sufficient orientation, training and
supervision to enable knovsledge of tfie facility's
purpose and services, the needs of children and
families served and the role and responsibilities to be
assumed.
(4) Provide tvso references relevant to tfie role and
responsibilities to be assumed.
474
NORTH CAROLINA REGISTER
September 7. 1998
13:5
PROPOSED RULES
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Agree in writing to abide bv the confidentialitv plan, including the parent(s)/leaai custodian's
policies of the aeencv. expectations;
(4) description of the child's family and significant others;
Authority G.S. I3ID-10.5: I43B-I53.
SECTION .0500 - SERVICE PLANNING
.0501 ADMISSION POLICIES
(a) The residential child care facility shall have written
admission policies which clearly define and describe the age, sex
and type of child to be served.
(b) The residential child care facility shall limit admissions to
children who need out of home care apart from their families and
for whom the facility is qualified by staff, program, buildings
and services to giye appropriate care.
(c) In the case of private referrals, the residential child care
facility shall:
ID
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document reasonable efforts to prevent placement;
establish that the facility provides the least restrictive
setting for the child;
(3) develop and implement a case plan with the child's
family for reunification, when possible.
(d) In the case of out of state referrals, the residential child
care facility shall not admit a child without ICPC approval.
(e) The residential child care facility shall provide the
applicant a handbook of admission procedures which includes:
(1) a description of the admissions process;
(2) the application; including any fees for services;
(3) the preplacement activities for the child, his parent(s).
guardian, or legal custodian; and
(4) an explanation of the group assignment method.
(f) The residential child care facility shall maintain a referral
log which includes:
(1) child's name, age, sex, and race;
(2) legal custodian; and
(3) disposition of admission.
Authority' G.S. I31D-I0.5: 143B-153.
.0502 ADMISSION PROCEDURES
(a) The residential child care facility shall establish and
implement an intake process which includes:
(1) receipt of an application and a face-to-face interview
with the child, legal custodian, and famih whenever
possible, with a specific effort to help the child
12}
understand the purpose of and need for out of home
care and residential services;
an exchange of information about the facility's
program and the child's needs, and to provide written
information required jn 10 NCAC 4 1 S .0307(a) and
10 NCAC41S. 0504(a)(5).
(b) A written intake study shall be completed for each child
accepted into residential care which includes:
(1) circumstances that led to the need for placement, and
the child's understanding of the placement;
assessment of family issues and justification that the
facility meets the needs of the child and famih;
short term placement goals and long range permanent
(5) description of the child's behavior;
(6) child specific information, including:
(A) medical history, including any current medical
problems;
(B) developmental history and current level of
functioning;
(C) educational history, if applicable; and
(D) the results of current psychological testing, if
applicable.
Authority G.S. 131D-10.5; 143B-153.
.0503 ADMISSION AGREEMENT
(a) At admission, the residential child care facility must
develop a written agreement between the parents or legal
custodian and the facility which specifies the services to be
provided by the facility and the responsibilities of the parents or
legal custodian which includes the following:
(1) statement of consent for placement by the parents or
legal custodian, with the date of admission;
plan for providing admission information on the
child's care, developmental, educational, medical, and
psychological needs to the parent(s) or legal
custodian, the frequency of service plan reviews, and
receipt of program information required by 10 NCAC
41S .0307(a) and 10 NCAC 41S .0504(a)(5);
statement of facility responsibility for working with
the child's parents;
statement related to the provision of religious training
and practices and consent to these by the parents or
legal custodian;
plan for family time;
fees and plan for payment of care;
plan for discharge to include projected length of stay;
and
statement of facility responsibility for aftercare
services.
(b) For youths 18 years of age and older residing jn the
residential child care facility, the facility shall obtain a voluntary
placement consent signed by the youth which specifies the
conditions for continued residential care and services.
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Author it\- G.S I3ID-10.5: 1438-153.
.0504 ORIENTATION
(a) The residential child
care facility shall provide
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information and discuss the program policies governing the
residential care and services of children with the child's parents
or legal custodian and the child at or before admission, which
include:
(1) family time, mail, gifts, personal possessions, money.
and telephone calls and restrictions which may be
imposed on these;
(2) discipline and behavior management, including the
use of searches of children's rooms and possessions;
13:5
NORTH CAROLINA REGISTER
September 1, 1998
475
^ea
PROPOSED RULES
(3) program of religious training and practices;
(4) educational resources;
(5) trips away from the facility;
(6) use of volunteers or visiting families, if any;
(7) physical restraint practices;
(8) client rights and grievance procedures; and
(9) daily and seasonal schedules.
(b) The residential child care facility shall obtain the case
plan from the county department of social services at or before
admission, when the county department of social services is the
legal custodian. In the case of a private placement, the facility
shall combine the case plan and the individualized service plan.
(c) The residential child care facility shall develop a written
individualized service plan for each child within 30 days of
admission. This plan shall be reviewed initially within 60 days,
the second review shall be within 90 days of the initial review
and the third and subsequent reviews shall be held every six
months, inviting parents, the legal custodian, if different, the
child, as well as any individual or agency designated as
providing service to participate.
£d} The individualized service plan shall be developed
utilizing information from an assessment of the child's and
family "s needs and include goals based on normal developmental
tasks and needs. The goals and objectives shall be based on
identified issues, be behaviorally specific, time limited and
measurable and include staff assignments and specific strategies
to be taken to meet the goals in the following areas:
(1) special interests and personal goals;
(2) intellectual, academic and/or vocational;
(3) psychological and emotional;
(4) physical;
(5) social and family relationships;
(6) cultural and spiritual; and
(7) basic living skills.
£e] A family time plan shall be part of the individualized
service plan for each child.
(f) A written discharge plan shall be part of the individual
service plan for each child.
(g) Direct care staff shall be infomied about the child's initial
individualized service plan and shall participate and/or provide
input at the reviews as described in 10 NCAC 4IS .0504(c).
(h) A copy of the child's individualized service plan shall be
provided to the parent(s) or legal custodian. When appropriate,
the child's individualized plan shall be provided to the
individuals listed as providing service. An age appropriate
version of the individualized service plan shall be written and
provided to each child.
£ij The child's individualized service
include:
Ian review shall
in
an evaluation of progress towards meeting identified
needs;
any new needs identified since the child's
individualized service plan yvas developed or last
reviewed and behaviorallv-specific strategies to meet
these needs, including instructions to staff;
an update of the estimated length of stay and
discharge plan; and
signatures of the persons participating in the review.
Authority G.S. 13ID-I0.5: 143B-I53.
.0505 DISCHARGE POLICIES AND PROCEDURES
The residential child care facility shall have written discharge
policies that will establish the guidelines for terminating the
facility's residential care and services to the child and family to
include the following:
(1 ) opportunity for the parent(s) or legal custodian to be
informed and have opportunity to discuss the decision
to discharge the child;
designation of a timeframe for the child to be
{2}
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discharged which allows sufficient time for the child
and facility to prepare for departure and for
arrangements to be made for the child's care;
discharge of a child under 18 years of age only to the
legal custodian;
completion of a summary within 30 days of discharge,
which includes the following:
(a) date and circumstances of discharge;
(b) name, address and telephone number of the
legal custodian to whom the child shall be
discharged;
services provided and evaluation;
recommendations for needed services; and
(5j
16]
provision of or referral for after care services.
Upon a child's departure, the residential child care
facility shall provide a copy of the child's educational,
medical and dental records, clinical materials (as
available) and other related materials, as appropriate,
to the parent(s) or legal custodian;
Upon a child's departure, the residential child care
facility shall send all personal clothing and belongings
with the child.
Authority G.S. I31D-10.5: 143B-153.
.0506 CLIENT RECORDS
(a) The residential child care facility shall maintain a client
record for each child which contains the following:
(I ) documentation of placement authority by legal
custodian;
(2J
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(10)
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(14)
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completed application for services;
written placement consent and agreement;
intake study and related documents;
documentation that verifies the child's birth;
pre-admission physical examinations;
immunization records;
intervention plan and reviews;
written service plan and review;
documentation of all family time, including duration.
location both onsite and off-site, and frequency, as
well as any rationale for restrictions on family
involvement;
consents for release of information;
consent for emergency medical treatment;
consents for field trips;
ongoing record of medical and dental care;
documentation of medical insurance;
476
NORTH CAROLINA REGISTER
September I, 1998
13:5
PROPOSED RULES
(16) physical restraint and incident reports; and ( 1 ) child's name, ape, sex and race;
(17) discharge summar\. (2) name of legal custodian; and
(b) The residential child care facilitv shall maintain client (3) dates of admission and discharge.
12]
(3}
records for the purpose of:
( 1) protecting the legal rights of the child, the parents and
legal custodian, and the facilitv;
documenting service provision to the child and family.
including an evaluation of effectiveness of services
provided; and
providing a source of information about individual
children, as well as information for the facility in
planning its program of care and services,
(c) Staff entries in client records shall be dated, initialed or
signed.
Authority G.S. 131D-10.5: 143B-153.
SECTION .0600 - SERVICE DELIVERY
.0601 PROGRAM POLICIES AND PRACTICES
(a) The residential child care facility shall have a written
program description and written program policies and
procedures.
(b) The residential child care facility shall design a program
to provide opportunities for positive learning experiences and to
meet the needs of children and families.
(c) The residential child care facilitv shall provide a daily
schedule of activities to meet the needs of children, which allows
time for privacy and individual pursuits.
(d) Tlie residential child care facilitv shall consider each child
an unique individual, providing opportunities which take into
consideration each child's ethnic and cultural backgrounds.
(e) The residential child care facilitv shall give each child
individual attention and nurturing.
(f) The residential child care facilitv shall provide each child
with the opportunity to have interaction with adults and children
of both sexes.
(g) The residential child care facilitv shall instinct and
supervise each child in personal care. h\giene. and grooming
appropriate for the age, sex, race and developmental capacity of
the child.
(h) The residential child care facility shall ensure that each
child has normal contacts in the community in which the facilitv
is located through participation in events such as. but not limited
to. school functions, recreational facilities, church youth groups,
part-time paid employment, community service and volunteer
work. An exception shall be made when communit^ contact is
inconsistent with the program design.
(jj The residential child care facilitv shall encourage each
child to form friendships with children outside the facilitv, to
visit friends in the community, and have their friends visit them
at the facilitv. An exception shall be made when contact with
friends is inconsistent with the program design or service plan.
(i) The residential child care facility shall provide residents
with access to telephones to maintain contact with friends and
family members.
(k) The residential child care facility shall maintain a log of
children in residence which includes:
Authority- G.S. I3ID-10.5: 143B-I53.
.0602 FAMILY INVOLVEMENT
(a) The residential child care facilitv shall have written
policies and procedures regarding family involvement which
support and encourage families to participate in planning,
communication and family time.
(b) Family involvement shall include:
( 1) Planning. The facility shall allow family members
opportunities to participate in planning events for
their child and themselves.
(2) Communication. The facilitv shall allow children to
send and receive unopened mail and to have telephone
conversations with parent(s) or other family members.
An exception shall be made if it is determined that the
child's best interest, individualized service plan or a
court order necessitates restrictions.
(3) Family Time. The facility shall allow children and
family members the opportunity for family time,
based on the purpose of placement and in support of
the child's goals.
Authority G.S. 13 ID- 10. 5: 143B-153.
.0603 VISITING RESOURCES
(a) The residential child care facilitv shall have written
policies and procedures regarding visiting resources, which
include that:
m
£3]
m
m
no financial support shall be paid to the visiting
resource;
written consent shall be obtained from each child and
each legal custodian prior to a visit;
resources, support and supervision shall be provided
to ensure the needs of the child are met during the
visit;
responsibility for the child during visits with the
visiting resource shall be retained b\ the facilitv;
the child's interests, needs, and welfare as identified
in the child's individualized service plan shall be
assessed by the facilitv m determining a visiting
resource;
prior to an overnight visit, visits between the visiting
resource and the child shall be arranged to occur both
at the agency and at the home of the visiting resource;
and
orientation to foster care, training on the types of
children served and information on the child for
whom they will be providing care shall be provided,
(b) The residential child care facilitv shall conduct an initial
assessment of each visiting resource and subsequent annual
assessments, which include:
(1) a home visit to ensure the building is safe and in good
repair;
(2) a completed application;
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September 1, 1998
477
"'■°™""'"-
PROPOSED RILES
(3) a brief social history, includirm an evaluation of
parenting skills and abilities;
(4) an agreement signed between the visiting resource and
the facility, which specifies the responsibilities of
each;
(5) three references affirming the visiting resource's
parenting skills and abilities;
(6) local criminal record checks on adult members
residing in the home; and
(7) documentation that the visiting resource's residence is
located within a 50 mile radius of the facility or of the
reason the visiting resource is beyond the 50 mile
radius.
AuihohryG.S. I31D-10.5: 143B-I53.
.0604 HEALTH SERVICES
Medical Program.
(I ) Medical Requirements for Admission.
(a) No child shall be accepted into a residential
child care facility without having had a
physical examination within six months prior
to admission, which shall include a signed
statement by a licensed medical provider
specifs'ing the child's medical condition and
medications prescribed and indicating the
presence of any communicable disease which
may pose a significant risk of transmission in
the facility. If a child is in the custody of a
department of social services, is already
scheduled to have and js having a physical
completed annually, and js entering a facility.
the schedule of annual physicals shall not be
changed. A copy of the most recent physical
shall be obtained from the responsible
department of social services by the facility.
(b) A child admitted to a residential child care
facility shall be immunized against diphtheria-
tetanus, whooping cough, poliomyelitis, red
measles (rubeola), rubella, mumps, and any
other disease as required by 15A NCAC 19A
.0400. as age appropriate, prior to admission.
Documentation of immunizations shall be
obtained. A copy of 15A NCAC I9A .0400
may be obtained from the Office of
Administrative Hearings. PO Drayver 27447.
Raleigh. North Carolina. (919) 733-2678. at a
cost of tyvo dollars and fifty cents ($2.50) at the
time of adoption of this Rule.
Routine Medical Care.
ill
taj
tbj
Arrangements shall be made with one or more
licensed medical providers or medical clinics
and ys ith at least one dentist for the care of the
children.
Each child shall have a physical examination at
least once a year and more often as needed. A
child shall not be allowed to participate in
actiy ities that pose unreasonable risk to his
Ic]
health. Any illness, disease or medical
condition ot" a child shall be identified and
treated promptly through proper medical care.
Children shall have a psychiatric or
psychological examination or both when
indicated and treatment when indicated.
Children must have had a dental examination.
by a licensed dentist, within one year prior to
admission or arrangements must be made for
an exam within six weeks after admission and
annually thereafter. The facility shall
document dental services in the child's record.
tdj
tu
(4}
Direct child care staff shall be instructed on
medical care which may be given by them
without specific orders from a licensed medical
provider Direct child care staff shall be
instructed in tfie procedures for obtaining
medical care bevond home health care and
handling medical emergencies.
Hospital Care. The residential child care facility shall
arrange with a hospital for the admission of children
from the facility in thie event of serious illness or
emergency.
First Aid.
(a) The residential child care facility shall obtain a
mouthpiece, utilize universal precautions and
other precautionary equipment for
administering CPR for the children in
residence.
iS}
(b) The residential child care facility shall ensure
that first aid kits are available for immediate
use in each living unit, recreation area and in
vehicles used to transport children.
On-Site Health Care.
(a) The residential child care facility shall not
engage in any home health care practices that
conflict with the control measures for
communicable diseases in 15A NCAC 19A
.0200. A copy of I5A NCAC 19A .0200 may
lb]
tc]
Id]
be obtained from the Office of Administrative
Hearings. PO Dravser 27447. Raleigh. North
Carolina. (919) 733-2678. at a cost of two
dollars and fifty cents ($2.50) at tfie time of
adoption of this Rule.
Direct child care staff shall be able to
recognize common symptoms of illnesses in
children and be alert to any infectious
condition and take proper precautions to
prevent the spread of such a condition.
Direct child care staff shall be able to provide
home health care. A thermometer shall be kept
available for use. When there is risk of
transmission, arrangements shall be made for
isolation and attendant care of a child with a
communicable disease.
Prescription medications shall be administered
only when approved by a licensed medical
proyider
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PROPOSED RULES
(e) All medicines, prescription and non
prescription, shall be stored in a locked cabinet,
closet or box not accessible to children.
(6) Medical Records. Each child shall have a medical
record which contains:
(a) Written consent from the legal custodian or
parent authorizing routine medical and dental
treatment and emergency treatment.
(bj A medication log which documents all
medications dispensed.
(c) The preadmission physical examination,
immunization records, and records of ongoing
medical and dental care and examinations
received, including but not limited to
hospitalizations, significant illnesses or
accidents and treatment provided.
Authority G.S. 131D-I0.5: 143B-153.
.0605 ROUTINE ASPECTS OF HEALTH,
PERSONAL HYGIENE, AND SAFETY
(a) Infection Control. Staff shall receive training in and
routinely apply general infection control measures and
procedures which shall include, but are not limited to. Universal
Precautions specified by the Centers on Disease Control. U.S.
Department of Health and Human Services. Public Health
Services. Atlanta. Georgia. A copy of general infection control
procedures may be obtained from National Technical
Information Services. 5285 Part Royal Road. Springfield.
Virginia. 22161. (703) 487-4650. at a cost of seven dollars
($7.00) at the time of the adoption of this Rule.
(b) Sleep. Each child in a residential child care facility shall
have enough sleep for his age at regular and reasonable hours
and under conditions conducive to rest.
(c) Hygiene. Children shall be taught and helped to keep
themselves clean. They shall receive training jn aM aspects of
personal hygiene.
(d) Toilet Articles.
(1) Each child shall have his own toothbrush, comb,
towel and wash cloth and his own separate place for
keeping these personal articles.
(2) Towels, wash cloths, and bed linens shall be changed
weekly or more often as required by good hygiene.
Authority G.S. 131D-10.5: 143B-153.
.0606 NUTRITION
(a) Meals served must meet
nutritional requirements as
advised by the National Research Council (Recommended Daily
Dietary Allowances).
(b) Any modified food needs of an individual child shall be
provided under the direction of a licensed medical provider or a
registered dietitian or nutritionist.
(c) Menus shall be planned by or in consultation with a
registered nutritionist or dietitian at least once per year. The
facility shall obtain documentation of consultation.
(d) Staff who eat with children shall be served the same food
except for tea and coffee. An exception shall be made if
differences in age or special dietary needs are factors.
Authority G.S. 1310-10.5: 1436-153.
.0607 HEALTH EDUCATION
The residential child care facility shall develop and implement
a plan for the provision of health education to include but not be
limited to health, human sexuality, substance abuse, smoking,
and prevention of sexually transmitted diseases. The health
education plan shall be documented.
Author it}- G.S I31D-10.5: 1 43 B- 153.
.0608 EDUCATIONAL AND VOCATIONAL
SERVICES
(a) The residential child care facility shall ensure that each
child of school age is provided an education in accordance with
the public school laws or the nonpublic school laws of North
Carolina.
(b) The residential child care facility shall make provisions
for remedial educational assistance as indicated by the needs of
the children.
(c) The residential child care facility shall have a policy about
serving children who are temporarily or permanently not
attending school.
(d) The residential child care facility shall have a written
policy for providing vocational and life skills education if
applicable to the population served.
Authority G.S. 1 31 D- 10.5: 1 43 B- 153.
.0609 RECREATION AND LEISURE ACTIVITIES
(a) The residential child care facility shall develop a written
schedule of planned recreational, leisure, or physical exercise
activities with input from both staff and children which meets
their developmental needs, which shall be posted in each cottage.
(b) The residential child care facility shall provide a variety
of indoor and outdoor, individual and group recreational
opportunities, with suitable space and competent adult
supervision, appropriate to the age, interests, and needs of each
child.
(c) The residential child care facility shall provide
recreational opportunities for children to play with children of
both genders. An exception shall be made when the program
cares for only one gender.
(d) The residential child care facility shall have an
individualized plan for any child who has special recreational
needs.
Authority G.S 13 ID- 1 0.5: 143B-153.
.0610 RELIGION AND SPIRITUAL DEVELOPMENT
(a) The residential child care facility shall have written
policies and procedures on religious training and practices and
shall provide these policies to children and their parents or legal
custodians prior to admission.
(b) The residential child care facility shall develop a plan for
each child to meet the child's spiritual needs which takes into
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September 1, 1998
479
PROPOSED RULES
account the parent's or leaal custodian's position regarding a
child's religious participation.
(c) The residential child care facilirv shall ha\e \sritten
policies and procedures which include that each child js free
from coercion u ith regard to religious decisions.
Authorin-G.S. 131D-10.5: 143B-153.
.0611 PERSONAL POSSESSIONS AND MONEY
(a) The residential child care facilit\ shall allow each child to
bring and acquire personal belongings, but shall retain the option
to super\'ise or limit the use of these items uhile the child js in
care.
(b) The residential child care facilit^ shall ensure that each
child has clean, well-fitting. attracti\e. seasonal clothing
appropriate to the age, sex and indi\idual needs of each child.
(c) The residential child care facilit^ shall ensure that each
child has indi\idual items necessan. for personal h\giene and
grooming.
(d) The residential child care facilit% shall provide
opportunities for each child to learn the value and use of mone\.
(e) The residential child care facility shall provide security
measures for each child's moneN separate from the agenc\'s
financial accounts.
Authohn- G.S. 131D-J0.5: I43B-153.
.0612
WORK
The residential
child care facilit\ shall provide
opportunities for each child to learn the value of work and the
de\elopment of good work habits.
(b) The residential child care facilit\ shall compK uith the
pro\isions of the NC Child Labor Law concerning age, abilities,
hours of labor and hazardous occupations in the assignment of
work to children.
(c) The residential child facilit\ shall not substitute children
for emploxed staff in assigning work
(d) The residential child care facilit%- shall not require children
to be soleK' responsible for an\ major phase of operation or
maintenance of the home such as cooking, laundering.
housekeeping, farming, or repair w ork.
(e) The residential child care facility shall not require a child
to work for the purpose of gaying the facility for his cost of care
except w hen an older child moNing toward self-support enters
into a contract with the facility in which he is paid for his work
and assumes a gradual degree of responsibility for his own
needs.
(f) The residential child care facility shall pro\ ide children
who are on work assignments with adult super\ ision.
IgJ The residential child care facility shall ensure that
children's work assignments do not interfere with school,
recreation. stud\ period, adequate sleep, community contacts and
family time.
Authorin-G.S. 131D-10.5: 143B-153.
.0613 DISCIPLINE AND BEH.WIOR MANAGEMENT
(a) The residential child care facility shall ha\e written
policies and procedures on discipline and beha\ ior management
which shall be pro\ided to and discussed with aH children-
parents or legal custodians, which include:
( 1 ) Proacti\e means for interacting with and teaching
children which emphasize praise and encouragement
for exhibiting self control and desired beha\ior: and
(2) Methods for protecting children and others when a
child js out of control.
(b) The residential child care facility shall implement
standards for behavior which are reasonable and
de\ elopmentalK appropriate.
(c) The residential child care facility shall not engage in
discipline or beha\ ior management which includes:
( 1 ) Corporal ph\ sical punishment:
(2) Cruel. se\ ere, or humiliating actions:
(3) Discipline of one child by another child:
(4) Denial of food, sleep, clothing or shelter:
(5) Denial of familv contact, including familv time,
telephone or mail contacts w ith famih :
(6) Assignment of extremely strenuous exercise or work:
(7) Verbal abuse or ridicule:
(8) Chemical, mechanical, or physical restraints except as
specified in 10NCAC41S .0614(e): or
(9) Locked rooms.
(d) The residential child care facility shall prohibit isolation
as a behavioral control measure except when the facility
pro\ides it in an unlocked room \\ithin hearing distance of a
staff member and the length of time alone js appropriate to the
child's age and stages of development.
(e) if physical restraints are used, the residential child care
facility shall haye written policies and procedures on the types
of and use of physical restraints which shall be discussed yvith
each child, parents or legal custodian prior to or upon admission.
( 1 ) The facility shall train and superyise staff in the safe
use of physical restraint.
(2) The facility shall documents each incident of physical
restraint on an incident report which shall be filed in
the child's record.
(3) The facility shall assign supery isory staff to revjeyy
and initial each incident report yvith in 24 hours of the
physical restraint to evaluate that the correct steps
were folloysed by the direct child care staff y\ho
applied the phy sical restraint.
.Authohn G.S. 131D-10.5: 143B-153.
.0614 INCIDENT REPORTS
(a) The residential child care facility shall have yyritten
policies and procedures for reporting critical incidents.
(b) The residential child care facility shall document critical
incidents, including accidents or injuries to the child, acts of
physical aggression by children, use of physical restraints by
staff' and children y\ho run ay\ay from the facility, yvhich include:
( 1) Name of child or children inyolved;
(2) Date and time of incident:
(3) Brief description of incident:
(4) Action taken by staff:
(5) Need for medical attention, if needed:
480
NORTH CAROLINA REGISTER
September 1. 1998
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PROPOSED RULES
(6) Name of staff involved and person completing the
report;
(7) Name of child's legal custodian notified and date and
time of notification; and
(8) Signature of supervisory or administrative staff
reviewing the report.
Authority G.S. 131D-10.5: 143B-153.
.0615 SEARCHES
(a) The residential child care facility shall have written
policies and procedures on conducting searches of children's
rooms and possessions which shall be discussed with each child,
their parents or legal custodian prior to or upon admission.
(b) The search policies and procedures shall include:
(1) Circumstances under which searches are conducted;
(2) Personnel authorized to conduct searches; and
(3) Provision for documenting searches and informing
supervisory personnel of searches.
Authority G.S. I31D-I0.5: 143B-153.
SECTION .0700 - BUILDINGS, GROUNDS AND
EQUIPMENT
.0701 REQUIREMENTS FOR APPROVAL
(a) Floor plans for new residential child care facilities
housing six or fewer children all of whom are able to evacuate
the facility without assistance must be submitted to and approved
by the Division of Social Services. Children's Services Section
as a condition for licensure, prior to beginning service/operation.
(b) Floor plans for new and renovated existing residential
child care facilities housing as many as seven and fewer than 10
children and for residential child care facilities housing six or
fewer, no more than 3 of whom are unable to evacuate the
facility without assistance, must be submitted to and approved by
the Department of Health and Human Services. Division of
Facility Services. Construction Section prior to beginning
construction.
(c) Preliminary and final construction drawings for new
facilities, conversions of existing facilities, or renovations of
existing facilities housing 10 or more children must be submitted
to and approved by the Department of Health and Human
Services. Division of Facility Services. Construction Section
prior to beginning construction. TTiree sets of drawings must be
submitted to Construction Section for their review and
distribution to the Division of Environmental Health and the
Department of Insurance.
(d) When a question arises in determining whether an existing
building used for child care purposes meets the requirements of
the North Carolina State Building Code, an interpretation must
be obtained by submitting a floor plan of the building, together
with details of construction, to the Department of Health and
Human Services. Division of Facility Services. Construction
Section.
AuthoriPiG.S. I31D-I0.5: 143B-153.
.0702 CONSTRUCTION AND RENOVATION
(a) Construction plans for new, reconstructed or renovated
buildings must be compatible with the residential child care
function of the facility and its program needs. A residential
child care facility must not have two unrelated types of
occupancy in the same building.
(b) The construction of a new residential child care facility,
the conversion of an existing building for residential child care
purposes, or the remodeling of an existing residential child care
facility must comply with all applicable local zoning regulations
and local and state building codes.
Authority G.S. 13 ID- 10. 5: 1438-153.
.0703 APPLICABLE BUILDING CODES
(a) Newly constructed buildings to be used for residential
child care purposes must meet the requirements of the North
Carolina State Building Code [adopted by reference pursuant to
G.S. 150B-14(c)] for the type of occupancy for which the
building is to be used.
(b) Residential child care facilities keeping 10 or more
children must meet requirements for INSTITUTIONAL
UNRESTRAINED OCCUPANCY of the North Carolina State
Building Code and Volume I-C requirements for handicapped
accessibility.
(c) Residential child care facilities keeping as many as seven
and fewer than 10 unrestrained children must meet the
requirements of the North Carolina State Building Code Volume
1 for "RESIDENTIAL CARE FACILITIES."
(d) Residential child care facilities keeping six or fewer
unrestrained children with no more than three unable to evacuate
the facility without assistance must meet the North Carolina
State Building Code Volume i for "RESIDENTIAL CARE
FACILITIES."
(e) Residential child care facilities keeping 6 or fewer
unrestrained children who are able to evacuate the facility
without assistance must meet the North Carolina State
Residential Building Code Volume VII.
(0 Mobile homes, whether mobile or permanently situated,
shall not be used for residential child care facilities.
.Authority G.S. 131D-I0.5: 1438-153.
.0704 FIRE AND BUILDING SAFETY
(a) An accessible non-pay telephone in each building must be
provided with emergency telephone numbers posted at the
telephone.
(b) Care must be exercised by the staff in allowing children
to use matches or to handle combustible materials.
(c) Emergency plans and fire evacuation plans approved by
the local fire authority must be developed and posted on each
floor of each building.
(d) Fire drills must be held monthly at different times during
the day and quarterly at night for both children and staff.
Documentation of fire drills must be kept.
(e) The staff and children residing in a facility must be trained
in the proper reporting of a fire and the ways of escaping from
a fire. New residents must be instructed within the first day
13:5
NORTH CAROLINA REGISTER
September 1, 1998
481
PROPOSED RILES
upon admittance.
(0 For even 2.500 square feel of floor area or portion thereof
and for each floor there must be at least one fire extinguisher.
Fire e.xtinizuishers must be pro\ided m accordance with the
standards of the National Fire Protection Association Standard
for Portable Fire Extinguishers NFPA Number 10. The\ must
be inspected annualK and kept charged and filled at all times in
accordance with NFPA Number 10.
(g) For seven or more residents, each floor level must be
separated from other floors in accordance w ith the requirements
of the applicable building code, but b^ not less than walls and a
solid core, self-closing. 20 minute fire-rated door.
(h) Each floor level must be provided with a minimum of t\\'o
remoteh -located exits.
(_!} Fire exits and all exit-access paths including doors,
hallways, and stairs, must be well lighted and kept clear of
obstructions.
(J) No locks shall be installed on exit or room doors \Nhich
would pre\ ent occupants from getting out of the building bv the
simple operation of a single knob or lever.
(k) Emergency lighting must be provided for exiting from the
building.
£lj Windows in children's bedrooms must be openable without
the use of keys or special tools.
(m) Fire alarm and smoke detector sy stems must be installed
in each child care facility in accordance y\ith applicable codes.
be audible throughout the building, be kept in y\orking order and
be readily identifiable by_ the staff and children.
(n) All electrical and heating equipment must be listed bv a
recognized testing agencv: the electrical wiring m the building
must conform to the requirements stated [n the National
Electrical Code for the applicable occupancy.
(0) Hot water at fixtures used bv residents for bathing or
hand-washing must be maintained at a minimum of 1 00 degrees
Fahrenheit and a maximum of not more than 1 16 degrees
Fahrenheit.
Authorin- G.S. 131D-10.5: 143B-153.
.0705 GENERAL SANITATION
(a) The water supply, sevsage disposal, solid waste disposal,
and food sery ice must meet applicable rules and regulations of
the Division of Environmental Health.
(b) Kitchens providing food service to 13 or more children
must meet the requirements of "Rules Governing the Sanitation
of Hospitals. Nursing Homes. Rest Homes. Sanitariums, and
Educational and Other Institutions" prepared bv the Div ision of
Environmental Health.
(c) Kitchens providing food service to no more than 12
children must meet the requirements of "Rules Governing the
Sanitation of Residential Care Facilities" prepared by the
Division of Environmental Health.
(d) Laundry facilities must be prov ided.
(e) To assure compliance with all local and state sanitation
regulations, construction plans for sev en or more residents for a
neyy child care facility, renovations of an existing building for a
child care facility, or the reconstruction of" an existing child care
facilin must be submitted to and approv ed by the counts health
department in which the facility is located.
Authority <JS. 1310-10.5: 143B-153.
.0706 BATHING AND TOILET AREAS
(a) After the effective date of these Rules, at least one toilet,
one lav atoiA w ith hot and cold water, and one tub or shower with
hot and cold w ater must be provided for each six children or
fraction thereof For children under five years old a tub must be
provided.
(b) Toilet and bathing facilities for direct care staff must be
separate from facilities used bv children living in the facilin.
(c) Bathrooms must be located as conveniently as possible to
the children's bedrooms.
(d) The entrance to a bathroom must not be through another
resident's bedroom or bathroom.
Aiithorm-G.S. 131D-10.5: 143B-153.
.0707 SLEEPING AREAS
(a) Bedrooms in existing facilities licensed before October
31. 1977 must provide a minimum of 60 square feet of floor
space for each child in multi-occupancv bedrooms and a
minimum of 80 square feet of fioor space jn single-occupancy
bedrooms. Floor area shall not include closets or wardrobes.
(b) Bedrooms in facilities licensed or dev eloped after October
31. 1977 must provide a minimum of 80 square feet of floor
space for each child in multi-occupancv bedrooms and a
minimum of 100 square feet of floor space in single-occupancv
bedrooms. Floor area shall not include closets or wardrobes.
(c) Bedrooms in facilities housing children with a maximum
stay of not more than 15 days must provide a minimum of 60
square feet of floor space for each child in multi-occupancv
bedrooms and a minimum of 80 square feet of floor space in
single-occupancv bedrooms. Floor area shall not include closets
or wardrobes.
(d) The only door access to a bedroom must not be through
another bedroom.
(e) No child mav share a bedroom with a staff member.
iX) No bedroom shall house more than four children,
(g) Children of different sexes more than five years of age
must not share a bedroom.
(h) Each child must have a bed of his or her own.
(jj Bunk beds shall be limited to no more than one bed above
the other bed at least four feet apart vertically.
(jj Beds must be at least three feet apart at the head, foot and
sides: bunk beds must be at least fiv e feet apart, horizontally.
(k) Each bed must be prov ided with a mattress in good repair.
(JJ No day -bed, convertible sofa or other bedding of a
temporary nature mav be used.
(m) Bedrooms must be provided w ith a minimum of 48 cubic
feet of closet or vv ardrobe space per child and four cubic feet of
drawer space per child.
(n) Each bedroom must be prov ided with w indow area equal
to eight percent of the floor area of the room.
Authot-m-G.S. 13ID-10.5: 1438-133.
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NORTH CAROLINA REGISTER
September I, 1998
13:5
PROPOSED RULES
.0708 LIVING/ACTIVITY AREAS
(a) The living/activiry areas must be accessible from an
outside entrance w ithout going through sleeping, food service.
or food preparation areas.
(b) A minimum total living area of 200 square feet or 40
square feet per child, whichever is greater, must be provided.
(c) Each required living/ activity room must be provided with
window area equal to eight percent of the floor area of the room.
Authority- G.S. HID- 10. 5: 143B-I53.
.0709 DINING AREAS
(a) A minimum dining area of 120 square feet or 14 square
feet per child, whichever is greater, must be provided convenient
to the kitchen.
(b) Each dining room must be provided with window area
equal to eight percent of the floor area of the room.
Authorities. I31D-10.5; 143B-153.
.0710 HEAT, LIGHT AND VENTILATION
(a) Heat. Heating equipment must be provided that maintains
the temperature jn the facility at no less than 65 degrees
Fahrenheit.
(b) Ventilation.
(1) Living rooms, dining rooms and bedrooms shall have
openable w indows to the outside.
(2) Rooms including toilets, baths, and kitchens, without
openable windows must have mechanical ventilation
to the outside.
(c) Air conditioning or at least one fan per bedroom, living,
and dining area must be provided when the temperature in the
facility exceeds 85 degrees Fahrenheit.
Authority G.S. 131D-W.5: 143B-153.
.0711 EXTERIOR SPACE
(a) Outdoor recreational space must be provided.
(b) All structures on the grounds of the facility accessible to
children must be free from hazards to health or safety.
(c) The grounds of the facility and the outdoor recreational
space must be maintained free from anv hazards to health or
safety:
(1) Garbage and rubbish which is stored outside must be
stored securely in non-combustible, covered
containers and must be removed on a regular basis.
(2) Trash collection receptacles and incinerators must be
kept separate from pla\ areas and must be located to
avoid being a nuisance to neighbors.
(3) Fences must be kept in good repair.
(4) Areas determined to be unsafe, including but not
limited to. steep grades, cliffs, open pits, swimming
pools, high voltage boosters, and high-speed roads,
must be fenced off or have natural barriers to protect
children.
(5) Play and recreational equipment must be located,
installed, and maintained to ensure the safety of
children.
Authority G.S. 131D-10.5: 14 33- 153.
.0712 INSPECTIONS
The residential child care facility must request and obtain
inspections at least annually from the local sanitarian and from
the local building inspector or fire inspector. Reports of such
inspections must be submitted to the licensing authority.
Authority G.S. 131D-10.5: 143B-153.
.0713 VEHICLES USED FOR TRANSPORTATION
OF CHILDREN
(a) Vehicle Requirements.
(1) Vehicles must be in conformance with all motor
vehicle laws and regulations for the State of North
Carolina.
(2) Vehicles must be maintained in a safe operating
condition, must be properly registered, and must have
a current, valid inspection sticker for the State of
North Carolina.
(3) A first-aid kit must be provided.
£4} The bed of an open body or a stake bed vehicle must
not be used for transporting children.
(b) Driver Requirements. The names of and a photostatic
copy of a valid driver's license for each person transporting
children shall be maintained in a separate file.
(c) Safety Practices.
(1) The interior of each vehicle must be maintained in a
clean and safe condition with clear passage to
operable doors.
(2) The driver must assure that all passengers follow
current North Carolina laws regarding seat belt usage
and shall adhere to child passenger restraint laws
when transporting children.
(3) The driver shall not transport more persons, including
children and adults, than allowed by tlie design
capacity of the vehicle.
(4) Children shall not be transported for more than four
continuous hours without a minimum of 30 minutes
rest stop.
(5) Children shall not be transported for more than 10
hours in any 24 hour period.
(d) Transportation Records. Insurance verification and the
vehicle identification certificate must be kept in tjie vehicle in
accordance with state law.
(e) Insurance. If tlie residential child care facility's
transportation services are provided by a private individual, a
firm under contract, or b\ another arrangement, the facility must
maintain a file copy of the individual's or firm's insurance
coverage.
(f) Emergency Transportation. The residential child care
facility must have a plan for transporting children in case of an
emergency.
Authority G.S. 131D-10.5: 143B-153.
SUBCHAPTER 41T - JVHNIMUM LICENSING
13:5
NORTH CAROLINA REGISTER
September 1. 1998
483
s^
PROPOSED RULES
STANDARDS FOR SPECIALIZED RESIDENTIAL
CHILD CARE PROGRAMS
SECTION .0100 - CHILDREN'S FOSTER CARE
CAMPS
.0101 APPLICABILITY
In addition to the rules in iO NCAC 415. the rules in this
Subchapter shall apply to al] persons licensed or seeking
licensure for a children's foster care camp as defined jn K)
NCAC4IS .0201.
experience and the educational program shall compK
with the appropriate requirements with special
education of the Department of Public Instruction; or.
each camp must be registered as and meet the
requirements for a non-public school.
(2) Education in a camp setting must be monitored and
evaluated pursuant to either public or non-public
school educational testing requirements to determine
the child's achie\ement level.
Authorises. I3ID-10.5: 143B-153.
Authority (J. S. 131D-W.5: 143B-153.
.0102 ADMISSION CRITERIA
In order to be considered for admission into a foster care
camp, a child shall meet the following criteria:
(1) be between the ages of eight and 17 vears old:
be phNsicalh able to participate m a camping
experience: and
voluntarily consent to admission.
£2}
13i
recognizing- understanding the need for a therapeutic
camping experience.
Authority G.S. 131D-10.5: 143B-I53.
.0103 PERSONNEL
(a) Direct service personnel and supervisory personnel, in
addition to supervision and training specified in 10 NCAC 415
.0405(d). shall be provided supervision and training jn the
following areas:
(1) rescue evacuation, updated even' three vears: and
(2) basic emergencs water safet^ course, with
certification documented in the camp files and
updated even, three \ ears.
(b) There shall be a minimum of two counselors certified in
Basic Rescue and Water Safet\ for each 10 children
participating in activities invoking uater. including, but not
limited to: swimming, boating, canoeing, and rafting.
Authority G.S. 131D-10.5: 1438-153.
.0104 SERVICE PLANNING
Each child shall have a medical assessment, within 60 days
prior to admission, documenting the child's abilit% to participate
in the activities of a therapeutic camping experience in an
outdoor setting.
Authority G.S. 131D-10.5: 143B-153.
.0105 SERVICE DELIVERY
(a) An itinerar\ shall be on Hie at camp for any off-campus
acti\ ir\ lasting longer than 24 hours. The itinerar\ shall include
participants" names, daih schedule, list of check-in points-
selected routes and telephone numbers of emergency resources
along each route (sheriffs, hospitals, rescue squads).
(b) Education.
( 1) Each camp shall provide an alternative education
.0106 BUILDINGS AND GROUND EQUIPMENT
(a) Facilities.
(1) All sleeping units must provide at least the following
space:
(A) 50 square feet per person:
(B) Three feet between the head, feet and sides of
beds and sleepers: and
(C) 30 inches between sides of beds.
All camper sleeping facilities shall be limited to one
level structures.
Any structure, sleeping or otherwise, with an
occupancy of more than 12 persons, including staff,
shall have at least two separate and independent
12}
13J
means of exit.
t4J
Open flame lighting shall not be used in sleeping
shelters for lighting and heating,
(b) Grounds:
in
(2]
There shall be potable water available at each camp
site.
At each children's camp there shall be provided a
minimum of
m
ID
IDJ
lEJ
one shower head for each 20 children;
one flush toilet for each 20 children;
one urinal for each 30 male children (urinals
ma\ not be substituted for flush toilets);
one handwashing facility, adjacent to toilet
facilities, for each 20 children; and
an approved wilderness latrine facility.
(c) Equipment:
(1) Laundn. facilities or equipment shall be available at
each camp for all staff and children.
ill
Gasoline, kerosene, and other flammable materials
shall be stored rn covered safe containers plainly
labeled as to content.
(3) Power tools
(AJ
All power tools, including mowers and
trimmers, must have
devices and be
IBJ
ID
the necessary safety
used according to
manufacmrer's instruction, maintained in good
repair, and used onh by those persons trained
and experienced in their safets.
Campers shall receive safety instructions
before using such equipment.
When campers are using such equipment, a
trained and responsible adult must be present.
All power tools shall be stored in a locked
484
NORTH CAROLINA REGISTER
September 1, 1998
13:5
PROPOSED RULES
place not occupied by children when not in use.
(4} Fire extinguishers must be available in aU areas so
designated by fire safety officials and shall be
properly charged and have a current inspection label.
Authority G.S. 1310-10.5: I43B-153.
SECTION .0200 - EMERGENCY SHELTER CARE
PROGRAM
facility during the child's stay in the program;
(3) Information that specifies the expectations of the legal
custodian during the child's stay in the program;
(4) Specification of the anticipated length of the child's
stay; and
(5) Specification of the projected goals for the family
during the child's stay in the program.
Aiithorit\-G.S. 131D-10.5; 143B-153.
.0201 APPLICABILITY
In addition to the rules m JO NCAC 4 IS. the rules in this
Subchapter shall apply to aM persons licensed or seeking
licensure for an emergency shelter care program as defined in 10
NCAC 4IS. 0201.
Authority G.S. 131D-10.5: 143B-153.
.0202 ADMISSION PROCEDURES
(a) At the time of admission, the residential child care facility
shall obtain the following information:
(1) The name, sex, race, birth date and birth place of the
child;
(2) When available, the parents' names, addresses,
telephone numbers, birth dates, races, religion and
marital status;
(3) When available, the names, addresses and telephone
numbers of siblings and other significant relatives, a
record of the child's prior placements with names of
care givers, addresses and dates of care; and
(4) If the child has had prior placements, the names of
care-givers, addresses and dates of prior placements.
(b) Within 72 hours of admission, the facility shall obtain the
following:
(1) a written agreement for admission from the legal
custodian;
(2) consent for release of information;
(3) consent for emergency medical treatment; and
(4) consent for family time/visitation.
(c) Within two weeks of admission, the facility shall obtain
the following:
(1) Report of the physical examination in accordance with
10NCAC41S.0604(a)(n;and
(2) A social summary which includes background
information on the child, his/her family, his/her
presenting problems, and current circumstances.
Authority G.S. 131D-I0.5: 1438-153.
.0203 ADMISSION CRITERIA
The residential child care facility shall enter into and obtain a
written agreement from the child's legal custodian within 72
hours of the child's admission which contains the following:
( 1) A statement documenting the legal custodian's
authority to place the child and designating the legal
custodian's consent for the child's admission;
(2) Information which sets forth the role and
responsibilities to be performed by the staff in the
.0204 RECORDKEEPING
Client case record. An individual case record shall be
maintained on each child which contains the following:
(1 ) Written consent for placement;
(2) Documentation of placement authority-;
(3) Demographic information on child and the child's
family;
(4) Consents for release of information, emergency
medical treatment, family time/visitation;
(5) Medical records, including the child's physical and
immunization records;
(6) Social summary;
(7) Individualized service plan and biweekh reviews,
including family time plan;
(8) Progress notes; and
(9) Discharge summary.
Authority G.S 13ID-10.5: 1438-153.
.0205 SERVICE PLANNING
Within one week of admission, an individualized service plan
shall be developed and reviewed evep>' other week, thereafter, by
the shelter home staff, parents and legal custodian of the child.
when appropriate. TTie individualized service plan shall include:
( 1 ) The expectation and goals to be reached bv the child
while in care;
The tasks and activities of the shelter home staff to
12]
tli
15j
16]
meet the needs of the child while in care;
The tasks and activities of the parents and legal
custodian to meet the needs of the child while in care;
The projected discharge plan;
The projected length of stay;
The signatures of the shelter staff, the child, the
child's parents and the child's legal custodian if
different fi'om the child's parents.
Authority G.S 131D-10.5: 1438-153.
.0206 DISCHARGE SERVICES
(a) The residential child care facility shall establish a policy
which specifies that no child shall remain in care longer than 90
days. An exception may be made to this policy if the facility has
an established policy which specifies the length of time and the
circumstances b\ which a child will remain in shelter care longer
than 90 days.
(b) Prior to discharge, the staff of the residential child care
facility shall develop a plan with the child to determine if follow-
up services will be provided, the type of services to be provided
13:5
NORTH CAROLINA REGISTER
September 1, 1998
4H5
PROPOSED RULES
and the timeframe for conducting these services.
Authority G.S. I3ID-10 5: 143B-153.
Notice is hereby given in accordance with G.S. 150B-21.2
that the Social Services Commission intends to amend the
rule cited as 10 SCAC 42C .2301. Notice of Rule-making
Proceedings was published in the Register on May 15. 1998.
Proposed Effective Date: May 1. 1999
A Public Hearing will he conducted at 10:00 a.m. on October
14. 1998 at the Albemarle Building. Room 943-2. 325 A'.
Salisbury Street. Raleigh. A'C
Reason for Proposed Action: Tlie Social Services Commission
requested that DFS amend 10 NCAC 42C .2301 to ensure
notification of an aduU care home resident's responsible person
of certain cases of injury to or illness of the resident and
incidents of the resident falling or wandering from the home.
Comment Procedures: Comments may be presented anytime
before or at the public hearing or orally at the hearing. Time
limits for oral remarks may be imposed by the Commission
Chairman. Any person may request copies of this rule by
calling or writing to Sharnese Ransome. APA Coordinator
Social Senices Commission. NC Division of Social Services,
325 .\. Sal is bun- Street. Raleigh, NC 2'603, phone. (9 19)' 33-
3055.
Fiscal Note: This Rule does not affect the expenditures or
revenues of state or local government funds. This Rule does not
ha^'e a substantial economic impact of at least five million
dollars (55.000,000) in a 12-month period.
CHAPTER 42
INDIVIDUAL AND FAMILY
SUPPORT
SUBCHAPTER 42C - LICENSING OF FAMILY
CARE HOMES
SECTION .2300 - SERVICES
.2301 PERSONAL CARE
Responsible staff nrost shall be on dut} at all times to:
(1) Encourage and assist residents to care for their
grooming, clothing, and toilet articles. This includes
care of bod\. hain gums, teeth, dentures, fingernails,
clothing and personal items (comb, brush, etc.):
(2) Allow all residents freedom of movement:
(3) Assist residents, when necessan,; on an individual
basis with their bathing, dressing, eating, walking,
going up and down steps, correspondence, shopping,
and scheduling of medical and business appointments,
as well as attend to an>- personal needs residents mav
be incapable of or unable to attend for themselves;
(4) Supervise, on an individual basis, residents who
smoke and need super\'ision. The degree of
supervision will be at the discretion of the
administrator or superv isor-in-charge. The home nw&t
shall have a written policy on smoking:
(5) Evacuate all residents in an emergencN':
(6) Assure that residents are dressed in appropriate
clothing when using the living room, dining room and
recreational areas, or when the resident leaves the
home for activities in the community :
(7) Respond immediate]} in case of an accident or
incident involving a resident, and make a proper
report of it. as follows:
(a) The administrator or superv isor-in-charge must
shall notify the county department of social
services within 24 hours of any incident or
accident which results in injury to a resident.
A report is to be made if there is any reason to
believe that a resident has been injured. Form
DSS 1870 DFS-;i89 is to be completed by the
administrator or supervisor-in-charge and
mailed to the counfy department b\' the next
working da\. This written report must shall
indicate how. when and where the incident or
accident occurred, the nature of the injurv. and
what was done for the resident: resident and
time of notification or attempts at notification
of the responsible person or contact person as
required in Subpart (7)(c)(i) of this Rule:
(b) The administrator or supervisor-in-charge must
shall immediateK notifv the countv department
of social services and the local law
enforcement authority, as appropriate, of any
mental or phvsical abuse, neglect or
exploitation of a resident in accordance with
General Statute 108A-99. The administrator
and superv isor-in-charge must shall cooperate
with the county department of social services
in its investigation of the matter: and
(c) The administrator or supervisor-in-charge shall
assure the notification of a resident's
responsible person or contact person, as
indicated on the Resident Register, of the
following, unless the resident or his
responsible person or contact person objects to
such notification:
(i) any injury to or illness of the resident
requiring medical treatment or referral
for emergency medical evaluation, with
notification to be as soon as possible but
no later than 24 hours from the time of
the initial discover, or knowledge of the
injury or illness by staff and
documented in the resident's file: and
(ii) any incident of the resident falling or
yvandering from the home's premises
which does not result in injury requiring
medical treatment or referral for
486
NORTH CAROLISA REGISTER
September /. 1998
13:5
PROPOSED RULES
emergency medical evaluation, with
notification to be as soon as possible but
no later than 48 hours from the time of
initial discovery or knovt'ledge of the
incident by staff and documented in the
resident's file, except for wandering
incidents requiring immediate
notification according to 10 NCAC 42C
■2305(f^(4).
(8) Encourage and assist the residents in the fullest
possible exercise of the civil and religious liberties
guaranteed under the Domiciliary Adult Care Home
Residents' Bill of Rights, G.S. 1 3 1 D-2 1 .
Authority G.S. 131D-2: 143B-153.
********************
Notice is hereby given in accordance with G.S. 150B-21.2
that the Commission for Mental Health. Developmental
Disabilities and Substance Abuse Services intends to amend the
rule cited as 10 NCAC 45 H .0205. Notice of Rule-making
Proceedings was published in the Register on April 1, 1998.
Proposed Effective Date: April 1. 1999
Instructions on How to Demand a Public Hearing A demand
for public hearing must be requested in writing within 15 days
of this notice and addressed to Charlotte F. Hall, Division of
MH/DD/SAS 325 N. Salisbury Street. Raleigh. NC 27603-5906.
Reason for Proposed Action: In order to be consistent with
actions by the Drug Enforcement Administration in placing
Butorphanol and Sibutramine in SCHEDULE IV of the
Controlled Substances Act.
Comment Procedures: Written comments should be submitted
to Charlotte F. Hall. Rule-making Coordinator Division of
Mental Health Developmental Disabilities and Substance Abuse
Services. 325 N. Salisbuiy Street. Albemarle Building. Suite
1156. Raleigh. NC 27603-5906.
Fiscal Note: This Rule does not affect the expenditures or
revenues of state or local government funds. This Rule does not
have a substantial economic impact of at least five million
dollars ($5. 000. 000) in a 12-month period
CHAPTER 45 - COMIMISSION FOR MENTAL
HEALTH, DEVELOPMENTAL DISABILITIES
AND SUBSTANCE ABUSE SERVICES
SUBCHAPTER 45H - DRUG TREATMENT
FACILITIES
.0205 SCHEDULE IV
(a) Schedule IV shall consist of the drugs and other substances
by whatever official name, common or usual name, chemical
name or brand name designated listed in this Rule. Each drug or
substance has been assigned the Drug Enforcement
Administration controlled substances code number set forth
opposite it.
(b) Depressants. Unless specifically excepted or unless listed
in another schedule, any material, compound, mixture or
preparation which contains any quantity of the following
substances, including its salts, isomers and salts of isomers
whenever the existence of such salts, isomers and salts of
isomers is possible within the specific chemical designation:
SECTION .0200
SCHEDULES OF CONTROLLED
SUBSTANCES
(1)
Alprazolam
2882
(2)
Barbital
2145
(3)
Bromaze
2748
(4)
Camazepam
2749
(5)
Chloral betaine
2460
(6)
Chloral hydrate
2465
(7)
Chlordiazepoxide
2744
(8)
Clobazam
2751
(9)
Clonazepam
2737
(10)
Clorazepate
2768
(11)
Clotiazepam
2752
(12)
Cloxazolam
2753
(13)
Delorazepam
2754
(14)
Diazepam
2765
(15)
Estazolam
2756
(16)
Ethchlorvynol
2540
(17)
Ethinamate
2545
(18)
Ethyl loflazepate
. 2758
(19)
Fludiazepam
2759
(20)
Flunitrazepam
2763
(21)
Flurazepam
2767
(22)
Halazepam
2762
(23)
Haloxazolam
2771
(24)
Ketazolam
2772
(25)
Loprazolam
2773
(26)
Lorazepam
2885
(27)
Lormetazepam
2774
(28)
Mebutamate
2800
(29)
Medazepam
2836
(30)
Meprobamate
2820
(31)
Methohexital
2264
(32)
Methylphenobarbital (mephobarbital)
2250
(33)
Midazolam
2884
(34)
Nimetazepam
2837
(35)
Nitrazepam
2834
(36)
Nordiazepam
2838
(37)
Oxazepam
2835
(38)
Oxazolam
2839
(39)
Paraldehyde
2585
(40)
Petrichloral
2591
(41)
Phenobarbital
2285
(42)
Pinazepam
2883
(43)
Prazepam
2764
(44)
Quazepam
2881
(45)
Temazepam
2925
13:5
NORTH CAROLINA REGISTER
September I, 1998
PROPOSED RULES
(46) Tetrazepam 2886
(47) Triazolam 2887
(48) Zolpidem 2783
(c) Fenfluramine. An\ material compound, mixture or
preparation which contains an\ of the following substances
including its salts, isomers (whether optical, position or
geometric) and salts of such isomers whenever the existence of
such salts, isomers and salts of isomers is possible:
Fenfluramine 1670
(d) Stimulants. Unless speciflcalK excepted or unless listed
in another schedule, any material, compound, mixture, or other
preparation which contains any quantity of the following
substances having a stimulant effect on the central nervous
system, including their salts, isomers (whether optical, position,
or geometric), and salts of such isomers whenever the existence
of such salts, isomers, and salts of isomers is possible within the
specific chemical designation:
(1) Cathine [( + )-norpseudoephedrine] 1230
(2) Diethylpropion 1610
(3) Fencamfamin 1760
(4) Fenpropore.x 1575
(5) Mazindol 1605
(6) Mefenorex 1580
(7) Phentermine 1640
(8) Pemolin (including organometallic complexes and
chelates thereoO 1530
t9j Sibutramine 1675
(e) Other Substances. Unless specifically excepted or unless
listed in another schedule, any material, compound, mixture or
preparation which contains an\ quantity of the following
substance, including its salts:
(1) Butorphanol (including its optical isomers) 9720
f+4t2] Pentazocine 9709
(^ID Pipradrol 1750
(^4(4} SPA [(-)-l-dimethylamino-1.2-
diphen\lethane] 1635
(f) Narcotic Drugs. Unless specificalK excepted or unless
listed in another schedule. an\ material, compound, mixture or
preparation containing limited quantities of an\ of the following
narcotic drugs, or an\ salt thereof:
( 1 ) not more than one milligram of difenoxin and not less
than 25 micrograms of atropine sulfate per dosage
unit. 9167
(2) Dextropropoxyphene
(alpha-(8f)-4-dimeth\lamino-1.2-diphen\l-3-
meth}l-2-propionoxy butane). 9278
(3) Buprenorphine 9064
Authohn-G.S. 90-88: 90-92: N3B-147.
TITLE 11 - DEPARTMENT OF INSURANCE
Notice is hereby given in accordance with G.S. 150B-21.2
that the NC Department of InsiirunceManiifactured
Housing Board intends to adopt t/ie rule cited as 11 NCAC 8
.0912. Notice of Rule-making Proceedings was published in tlie
Register on July 1. 1998.
Proposed Effective Date: .4pril 1. 1999
A Public Hearing will be conducted at 2:00 p.m. on September
16. 1998 at 410 X. Boy Ian .4venue. Raleigh. NC.
Reason for Proposed Action: 777/s rule is required to establish
examination guidelines and procedures.
Comment Procedures: Written comments should be sent to
Patrick Walker c/o NC Department of Insurance, 410 N. Boylan
.■ivenue. Raleigh. NC 2^603, (919) '735-3901.
Fiscal Note: This Rule does not affect the expenditures or
revenues of state or local government funds. This Rule does not
have a substantial economic impact of at least five million
dollars (S5. 000.000) in a 12-month period.
CHAPTER 8 - ENGINEERING AND BUILDING
CODES DIVISION
SECTION .0900
MANUFACTURED HOUSING
BOARD
.091 2 SET-UP CONTRACTOR EXAMS
(a) Definitions. The definitions contained in G.S. 143-143.9
are incorporated into this Rule by reference. As used in this
Rule, "qualifier" means an individual taking the examination on
behalf of an applicant that is not an individual.
(b) Examination Required. Each applicant for a set-up
contractor's license shall pass a written examination
administered b\ the Board before the Board will issue a license
to the applicant. EverN applicant shall be required to pass the
examination with a grade of at least 70 percent. An applicant
who does not pass the examination shall be allowed to retake the
examination.
(c) Time and Place of Examinations. The Board shall
administer examinations in its offices in Raleigh. The Board
shall announce the time and place for each examination at least
10 da\s before the date of the examination.
(d) Application Process. Each applicant shall complete an
application on a form provided by the Board. If the applicant is
not an individual, the applicant shall identify on the application
an\ individuals who will take the examination for the applicant.
In order to take an examination on a particular date, an applicant
shall file a completed application no later than 30 days before
the scheduled date of the examination.
(e) Person Taking Examination. A qualifier shall be
associated with the applicant, and shall be actively engaged in
the work of the applicant for a minimum of 20 hours per week.
or a maioritv of the hours operated by the appl icant. whichever
is less. Each licensee shall notify the Board in writing within 10
da\s after any qualifier no longer meets the preceding
requirements. If one qualifier fails, and another passes, the
license will be granted to that applicant. An individual shall not
ser\'e as a qualifier for more than one license. The applicant ma\
have more than one individual serve as a qualifier.
(f) Subject Matter. The set-up contractor examination shall
include the following subjects:
488
NORTH CAROLINA REGISTER
September L 1998
13:5
PROPOSED RULES
(1) The State of North Carolina Regulations for
Manufactured/Mobile Homes.
[2} The provisions of G.S. 143. Articles 9A and 9B.
Oj The Rules of the Board.
(4) Federal and State laws and rules governing the set-up
of a manufactured home,
(g) General Requirements. All applicants scheduled for an
examination shall bring a form of identification with a current
picture. No visitors shall be allowed in the testing room.
(h) Special Arrangements for the Disabled. If an applicant
has a disability which will require special arrangements to take
an examination, the applicant shall request in writing that
appropriate special arrangements be made. The Board shall
make reasonable accommodations for applicants requesting
assistance pursuant to this Rule.
ti) Cheating and Related Misconduct. Applicants shall not
cheat or attempt to cheat on an examination by any means,
including both giving and receiving assistance, and shall not
communicate in any manner for any purpose with any person
other than staff members for the Board during an examination.
ij} Notification of Results. The examination results shall be
A Public Hearing m/// he conducted at 10:00 a.m. on
September 24. 1998 at 430 N. Salisbury Street. Raleigh. NC.
Reason for Proposed Action: N.41C has made changes In
Long-Term Car Model Regulations - these rules reflect these
changes by enabling long-term care providers to be subject to
similar rules in most states.
Comment Procedures: Written comments should be sent to
Theresa Shackelford, NC Department of Insurance. Life and
Health Division, PO Box 26387. Raleigh,' NC 27601. (919) 733-
5060.
Fiscal Note: These Rules do not affect the expenditures or
revenues of state or local governtJient funds. These Rules do not
have a substantial economic Impact of at least five million
dollars (S3. 000.000) in a 12-month period.
CHAPTER 12 - LIFE AND HEALTH DIVISION
SECTION .1000 - LONG-TERM CARE INSURANCE
mailed to tlie applicant at the address on the application form
within 30 days after the examination. Passing applicants shall
receive onK a grade of "pass."
(k) Review of Examinations. Upon the applicant's written
request, made within 30 days after the written notification of the
examination results, an applicant who did not pass the
examination shall be allowed to review his examination. The unstable — aed — requires — frequent — monitoring — by — medical
.1003 POLICY DEFINITIONS; APPEALS
(a) No policy shall use the words or terms named in this Rule
unless they are defined in the policy and the definitions satisfy'
the requirements in this Rule.
(b) "Acute condition" means that the individual is medically
review shall be at the Board's offices, at a time schedule by the
Board's staff. An applicant shall review his examination in the
presence of a staff member of tlie Board and shall not be
accompanied by any other individual at a review session. No
other individual shall review an examination on behalf of the
applicant. An applicant shall not be permitted to cop\ a question
or answer contained in tlie examination report or alter an
examination paper in an\ way. An applicant who has passed the
examination shall not be permitted to reviev\ his examination. If
the applicant is not an individual, the review of the examination
shall be made b\ the applicant's qualifier.
(Jj Exemption. Each person who has a set-up contractor
license on June 30. 1999. shall be exempt from examination
requirements. Each person who has a set-up contractor license
shall be allowed to renew his license each year without
examination.
.Authority G.S 143-143. 10(b)(4): 143-1 43. 11(h).
********************
Notice is hereby given in accordance with G.S. 150B-21.2
that the NC Department of Insurance Intends to adopt the
rules cited as II NCAC 12 . 1025, . 1026. . 1212 and amend the
rule cited as 11 NC.4C 12 .1003. Notice of Rule-making
Proceedings was published in the Register on July 1. 1998.
Proposed Effective Date: April 1. 1999
professionals, such as physicians and registered nurses, in order
to maintain his health status.
(c) "Medicare" means the "Health Insurance for the Aged Act".
Title XVlll of the Social Security Amendments of 1965. as
amended.
(d) "Mental or nervous disorder" does not include more than
neurosis, psychoneurosis. psNchopathy. psychosis, or mental or
emotional disease or disorder.
(a) No policN issued or issued for delivery in this State shall
use the terms set forth in this Rule, unless the terms are defined
in the policN and thie definitions satisfy the following
requirements:
(1) "Activities of daily living" means at least bathing,
continence, dressing, eating, toileting, and
transferring.
(2) "Acute condition" means that the individual is
medically unstable and requires frequent monitoring
by a medical doctor or registered nurse.
(3) "Bathing" means washing oneself by sponge bath, or
in a tub or shower, including the task of getting into
and out of the tub or shower.
(4) "Cognitive impairment" means a deficiency in a
person's short or long-term memory; orientation as to
person, place, and time; deductive or abstract
reasoning; or judgment as it relates to safety
awareness.
(5) "Continence" means the ability to maintain control of
bowel and bladder function; or. when unable to
maintain control of bowel or bladder function, the
13:5
NORTH CAROLIN.4 REGISTER
September 1, 1998
489
PROPOSED RULES
£6)
£7}
m
m
10)
abilit\ to perform associated personal h\aiene
(including caring for catheter or colostom\ bag).
"Dressing" means putting on and taking off all items
of clothing and an\' necessary braces, fasteners, or
artificial limbs.
"Eating" means feeding oneself b\ getting food into
the bod\ from a receptacle (such as a plate, cup, or
table): or b\ a feeding tube or intravenousK.
"Hands-on assistance" means ph\sical assistance
(minimal, moderate, or maximal) without which the
individual would not be able to perform the acti\irs of
daiK living.
"Medicare" means the "Health Insurance for the Aged
Act". Title XVlll of the Social Security' Amendments
of 1965. as amended.
"Mental or nervous disorder" shall not be defined to
include more than neurosis. ps\choneurosis.
ps\chopath\. psNchosis. or mental or emotional
disease or disorder
"Personal care" means the pro\ision of hands-on
services to assist an individual with activities of daiK
living.
( 12) "Toileting" means getting to and from the toilet.
03}
(14)
getting on and off the toilet, and performing
associated personal h\ giene.
"Transferring" means moving into or out of a bed-
chair, or wheelchair
"Skilled nursing care." "intermediate care." "personal
care." "home care." and other services shall be
defined in relation to the level of skill required, the
nature of the care, and the setting jn which care must
be delivered.
(b) The definitions contained in G.S. 58-55-20 and G.S. 58-
55-35(a) are incorporated b\ reference into this Section.
(c) A policN ma\ condition the pa\ment of benefits on a
determination of the insured's abilirs to perform acti\ities of
daiK li\ing and on cogniti\e impairment as long as those
conditions are defined in the polic\. Assessments of activities
of daiK li\ing and cogniti\e impairment shall be performed b\
licensed or certified professionals, such as medical doctors,
nurses, or social workers. Policies shall include a descriptions of
the procedures for appealing and resoKing benefit
determinations.
Authorin- G.S. 58-2-40(1): 58-55-30(a).
.1025 SUITABILITY
(a) Each insurer except an insurer issuing life insurance that
accelerates benefits for long-term care, shall:
( 1) Train its agents in the use of its suitabilirv standards.
(2) Maintain a cop\' of its suitabiliu standards and make
them a\ailable for inspection upon request by the
Division.
(b) To determine whether the applicant meets the standards
developed by the insurer the agent and insurer shall deselop
procedures that take the following into consideration:
( 1) Tlie abilitN to pa\ for the proposed co\erage and other
pertinent financial information related to the purchase
of the coverage.
(2) The applicant's goals or needs with respect to long-
term care and the advantages and disadvantages of
insurance to meet these goals or needs.
(3) The values, benefits, and costs of the applicant's
existing insurance, if anN. when compared to the
values, benefits, and costs of tlie recommended
purchase or replacement.
(c) The sale or dissemination of information obtained under
this Rule b\ an insurer or an agent to any person outside of the
insurance company or insurance agencv is prohibited.
(d) Each \ ear the insurer shall report to the Division the total
number of applications received from residents of this State, the
number of applicants who provided information on the
Worksheet, the number of applicants who did not meet the
suitability standards, the number of those who chose to confirm
after receiving a suitability letter
(e) An insurer mav issue a policy to an applicant that does not
meet the financial suitability standards if the applicant signs a
yvaiver acknoys ledging the suitability results.
.Authorin- G.S. 58-2-40(1): 58-55-30(a): 58-55-31.
.1026 NONFORFEITURE BENEFIT
REQUIREMENTS
(a) G.S. 58-55-3 1(a) does not apply to insurers issuing life
insurance that accelerates benefits for long-term care.
(b) Nonforfeiture benefits shall not exceed the maximum
benefits that would have been payable before the policy lapse.
(c) Premiums charged for a policy containing nonforfeiture
benefits shall be subject to tlie loss ratio requirements of the
policy as a whole.
(d) This Rule applies only to policies newly issued on and
after April 1. 1999.
.Authorin- G.S. 58-2-40(1): 58-55-30(a): 58-55-31.
SECTION .1200 - ACCELERATED BENEFITS
.1212 LONG-TERM CARE BENEFITS
ACCELERATION
(a) An insurer that issues life insurance policies or annuities
that accelerate benefits for long-term care shall comply with 1 1
NCAC 12 .1010 if the policy being replaced is a long-term care
insurance policy. If the policy being replaced is a life insurance
policy, the insurer shall comply yvith \\_ NCAC 12 .0611. If a
life insurance policy that accelerates benefits for long-term care
is replaced by another life insurance policy that accelerates
benefits for long-term care, the replacing insurer shall comply
with 11 NCAC 12 .1010 and H NCAC 12 .0611.
(b) 11 NCAC 12 .1013 does not apply to Hfe insurance
policies that accelerate benefits for long-term care. A life
insurance policy that funds long-term care benefits entirely by
accelerating the death benefit is considered to provide
reasonable benefits in relation to premiums paid, if the policy
complies with all of the folloy\ing provisions:
( I) The interest credited internally to determine cash
\alue accumulations, including long-term care, if any.
490
NORTH CAR0LI.\.4 REGISTER
September 1, 1998
13:5
PROPOSED RULES
are guaranteed not to be less than the minimum
guaranteed interest rate for cash value accumulations
without long-term care set forth in the policy.
(2) The portion of the policy that provides life insurance
benefits meets the nonforfeiture requirements of G.S.
58-58-55.
The policy meets the disclosure requirements of G.S.
14}
£5}
58-55-30.
Any policy illustration that meets the applicable
requirements of 1 1 NCAC 4.0501.
An actuarial memorandum is filed with the Division
that includes:
(A} A description of the basis on which the long-
term care rates were determined.
(B) A description of the basis for the reserves.
£Q A summary of the type of policy, benefits,
renewability. general marketing method, and
limits on apes of issuance.
(D) A description and a table of each actuarial
assumption used. For expenses, an insurer must
include percent of premium dollars per policy
and dollars per unit of benefits, if any.
(E) A description and a table of the anticipated
policy reserves and additional reserves held in
each future year for active lives.
(F) The estimated average annual premium per
policy and the average issue age.
(G) A statement as to whether underwriting is
performed at the time of application. The
statement shall indicate whether underwriting
is used and, if used, the statement shall include
a description of the type or types of
underwriting used, such as medical
underwriting or functional assessment
underwriting. For a group policy, the statement
shall indicate whether the enrol lee or any
dependent will be underwritten and when that
underwriting occurs.
£H} A description of the effect of the long-term
care policy provision on the required
premiums, nonforfeiture values, and reserves
on the underlying life insurance policy, both
for active lives and those jn long-term care
claim status.
Authoring G.S. 58-2-40(1): 58-55-30(a): 58-58-1; 58-58-40.
TITLE 15A - DEPARTMENT OF ENVIRONMENT
AND NATURAL RESOURCES
Notice is hereby given in accordance with G.S. 150B-2I.2
that the Department of Environment and Natural
Resources intends to adopt the rule cited as 15A NCAC 2H
. 0226. Notice of Rule-making Proceedings was published in the
Register on April 15, 1998.
Proposed Effective Date: April 1. 1999
Instructions on How to Demand a Public Hearing A demand
for a public hearing must be requested in writing and mailed to
Kim H. Colson, Non-Discharge Permitting Unit, PO Box 29535,
Raleigh, NC 27626. The demand must be received within 15
days of this notice.
Reason for Proposed Action: The legislature enacted the
Clean Water Responsibility and Environmentally Sound Policy
Act (HB 515) during the 1997 General Assembly Session which
included as Part 1. a moratorium on the permitting of new and
expanding swine operations. HB 515 included several
exceptions to the moratorium listed in Section 1.1(b). The last
of these exceptions is a provision which allows the permitting of
innovative animal waste systems that do not employ anaerobic
lagoons. The Statutes do not define innovative nor an anaerobic
lagoon. There has been debate regarding the definitions of
innovative and anaerobic lagoon in the regulated community,
affected groups, and legislative committees. The Joint
Legislative Administrative Procedures Oversight Committee has
recommended to the Department (verbally) that rule making
should proceed to define these terms. An initial inquiry to the
Department's definition was made in January 1998. Under the
normal rule making process, a permanent rule could not be
adopted prior to the expiration of the moratorium. The
moratorium is effective until the statutory deadline established
in 1997 NCSess. LaM's, ch. 458. Sec. 1.1(a). Additionally there
are statutory requirements (NCGS 143-215. IOC) requiring
actions on permit applications within set time frames. If
permanent rules were pursued without temporary rules, no
criteria would be established for permitting innovative systems
during the moratorium. Criteria is needed to avoid confusion
regarding these permitting actions. Confusion has been
expressed by the public, legislative bodies, other government
agencies, researchers, new technology providers, and
applicants. Items that have generated confusion are: what is
considered innovative: is a lagoon anaerobic if it utilizes any
anaerobic process; how many of the same system would be
permitted under the exception: does HB 515 unduly restrict
research on potential systems at state or federal facilities: what
are the goals of a proposed innovative system: and does an
innovative need to address odor The new rule will set forth the
needed criteria and definitions for permitting these systems
under HB 515 including: what is considered innovative, an
anaerobic lagoon definition, environmental factors to consider,
and the ability to conduct research on state and federal
property.
Comment Procedures: Comments, statements, data and other
information may be submitted in writing within 60 days (until
October 13. 1998) after the date of publication of this issue in
the NC Register Copies of the proposed rule and information
package men' be obtained by contacting the Non-Discharge
Permitting Unit at (919) 733-5083 (ext. 574 or 535). Written
comments may be submitted to Kim H. Colson. Division of
Water Quality, Water Quality Section, Non-Discharge
13:5
NORTH CAROLINA REGISTER
September 1, 1998
491
^M
PROPOSED RULES
Permitting Unit. PC) Box 29535. Raleigli. XC 2 '626-0535.
Fiscal Note: This Rule Joes not affect the expenditures or
revenues of state or local government funds. This Rule does not
have a substantial economic impact of at least five million
dollars fS5.000.000) in a 1 2-month period.
CHAPTER 2 - ENVIRONMENTAL IVIANAGEIVIENT
SUBCHAPTER 2H - PROCEDURES FOR PERMITS:
APPROVALS
SECTION .0200 - WASTE NOT DISCHARGED TO
SURFACE WATERS
.0226 INNOVATIVE ANIMAL WASTE OPERATION
PERMITS FOR SWINE OPERATIONS
(a) In accordance with the Clean Water Responsibility' And
EnvironmentalK Sound Polic\ Act. 1997 N.C. Sess. Laws ch.
458. Sec. 1.1(b)(7). the Director ma\ issue permits for a new or
expanding swine waste operation if the operation utilizes an
innovative animal waste management svstem that does not
emplo\ an anaerobic lagoon. For the purpose of implementing
the Clean Water Responsibility And EnvironmentalK Sound
PolicN Act. 1997 N.C. Sess. Laws ch. 458. an individual permit
ma\' be issued for a new or expanding swine farm under G.S.
143-215. IOC if the animal waste management svstem meets the
criteria as set forth in Paragraph (b) of this Rule.
(b) An animal waste management s\stem rnay be considered
for an exception under Sec. 1.1(b)(7) of the Clean Water
Responsibility And Environmentally Sound Policy Act. 1997
N.C. Sess. Laws ch. 458 if:
(1) The system js installed on state or federal 1\ owned
property, does not employ an anaerobic lagoon, and is
a research or demonstration project: or
(2) The svstem is substantially different from systems,
other than pilot scale. currentK in use in North
Carolina on swine operations with 250 or more s\sine:
and
(3) It appears that the sy stem will provide the Department
a viable alternative to the continued use of the existing
form of anaerobic wastewater lagoons prevalent in
North Carolina as the treatment svstem for suine
waste, or it appears that the sxstem will substantially
advance the Department's kno\\ ledge with regard to
significant improvements that can be made to animal
waste management on swine farms: and
(4) The system does not employ an anaerobic lagoon.
(c) The following definitions appK to this Section:
(1) "Anaerobic Lagoon" shall mean the lagoon js
designed for the treatment of waste by converting jt
into Carbon dioxide. Methane, other gaseous end
products, organic acids, and cell tissue.
£2} "Lagoon" shall be as defined in G.S. 106-802( 1 ).
(3) "Anaerobic process" means a biological treatment
process that occurs in the absence of oxygen.
(d) Other processes, such as anoxic zones and anaerobic
zones for nutrient removal or anaerobic digesters for the further
treatment of residual solids, that do not include an anaerobic
lagoon, would not prevent consideration for an exception under
this Rule, provided the applicant can document beneficial
aspects of the treatment with respect to ammonia volatilization,
water quality, and odor reduction. The burden of proof shall be
on the applicant to demonstrate this requirement.
(e) The Director may- require the use of aeration or other
treatment in holding basins or other storage devices if there is a
potential for anaerobic processes developing and generating
odors on a regular basis which are detectable beyond the
property of the operation.
UQ The Director may consider whether the proposed location
is consistent with water quality concerns in the watershed.
(g) This Rule shall be in effect as long as the Clean Water
Responsibility And Environmentally Sound Policy Act. 1997
N.C. Sess. Laws ch. 458. Sec. 1.1 is in effect.
.Author it\' G.S. 1 43-21 5. T' 143-215. IOC: S.L 199^ c. 458.
XWJTWXXXWWWWKX
TT X K W
Notice is hereby given in accordance with G.S. 150B-21.2
that the North Carolina Wildlife Resources Commission
intends to amend the rules cited as ISA NCAC IOC .0302.
. 0305. . 0405. Notice of Rule-making Proceedings was published
in the Register on July 1. 1998.
Proposed Effective Date: .April 1. 1999
A Public Hearing will be conducted at 10:00 a.m. on ^
September 16. 1998 at the .Archdale Building. Room 334.
Raleigh. NC 27604.
Reason for Proposed Action:
15A NCAC IOC .0302 - To regulate/restrict taking of inland
game fish necessary to manage and presen-e the resources. The
Wildlife Resources Commission may adopt this as a temporary-
ride pursuant to S.L. 1997-0403 following the abbreviated
notice as indicated in the Notice of Rule-making Proceedings or
following the public hearing and public comment period as
indicated in this notice.
15A NC.4C IOC .0305 - To regulate/restrict creel and size
limits for taking of inland game fish necessary- to manage and
presen-e the resource. The Wildlife Resources Commission may
adopt this as a temporaiy rule pursuant to S.L. 199^-0403
following the abbreviated notice as indicated in the Notice of
Rule-making Proceedings or following the public hearing and
public comment period as indicated in this notice.
15.4 NC.4C IOC .0405 - To regulate restrict possession of
licenses for nongamefsh necessaiy to manage and preserve the
resource. The Wildlife Resources Commission may- adopt this
as a temporary rule pursuant to S.L. 199^-0403 following the
abbreviated notice as indicated in the Notice of Rule-tnaking
Proceedings or following the public hearing and public
comment period as indicated in this notice.
Comment Procedures: Interested persons may present their
vicMS either orally or in writing at the hearing. In addition, the
492
NORTH CAROLINA REGISTER
September I, 1998
13:5
PROPOSED RULES
record of hearing will be open for receipt of written comments
from September 1. 1998 to October 1. 1998. Such written
comments must be delivered or mailed to the NC Wildlife
Resources Commission, 512 N. Salisbury Street, Raleigh, NC
27604-1188.
Fiscal Note: These Rules do not affect the expenditures or
revenues of state or local government funds. These Rules do not
have a substantial economic impact of at least five million
dollars ($5,000,000) in a 1 2-month period.
SECTION .0300 - GAME FISH
.0302 MANNER OF TAKING INLAND GAME FISHES
(a) Except as provided below, it is unlawful for any person to
take inland game fishes from any of the waters of North Carolina
by any method other than with hook and line. Landing nets may
be used to land fishes caught on hook and line. Game fishes
taken incidental to commercial fishing operations in joint fishing
waters or coastal fishing waters shall be immediately returned to
the water unharmed. Game fishes taken incidental to the use of
licensed special devices for taking nongame fishes from inland
fishing waters as authorized by 15A NCAC IOC .0407 shall be
immediately returned to the water unharmed, except in the Pee
Dee River downstream from the Blewett Falls dam, where that
a daily creel limit of American and hickory shad may be taken by
permit with dip nets, bow nets and drift gill nets special fishing
devices during the permitted season, from March 1 through April
30 in those waters where such gear may be lawfully used. In the
Pee Dee River below Blewett Falls dam no permit is required
and shad may be taken with any special fishing device during the
authorized season for that device.
(b) In the inland waters of the Roanoke River upsfream of
U.S. 258 bridge, only a single barbless hook or a lure with a
single barbless hook may be used from 1 April to 30 June.
Barbless as used in this rule, requires that the hook does not
have a barb or the barb is bent down.
Authority' G.S 113-134: 113-273: 113-292: 113-302.
.0305 OPEN SEASONS: CREEL AND SIZE LIMITS
(a) Generally. Subject to the exceptions listed in Paragraph (b) of this Rule, the open seasons and creel and size limits are as
indicated in the following table:
GAME FISHES
DAILY CREEL
LIMITS
MINIMUM
SIZE LIMITS
OPEN SEASON
Mountain Trout:
Wild Trout
Waters
4
7 in.
ALL YEAR
(exc. 2)
Hatchery Sup-
ported Trout
Waters and
undesignated
waters
7
None
All year, except
March 1 to 6:00 a.m
on first Saturday
in April
(exc. 2)
Muskellunge and
Tiger Musky
2
30 in.
ALL YEAR
Chain Pickerel
(Jack)
None
None
ALL YEAR
Walleye
8
(exes. 8 & 9)
None
ALL YEAR
(exc. 8)
Sanger
8
15 in.
ALL YEAR
Black Bass:
Largemouth
5
(exc. 9)
14 in.
(exes. 3,7 & 10)
ALL YEAR
(exc. 17)
Smallmouth
and Spotted
5
(exc. 9)
12 in.
(exes. 3,7 & 10)
ALL YEAR
White Bass
25
None
ALL YEAR
13:5
NORTH CAROLINA REGISTER
September 1, 1998
493
PROPOSED RULES
Sea Trout (Spotted
or Speckled)
Flounder
Red drum (channel
bass, red fish,
pupp\ drum)
Striped Bass
and their hybrids
(Morone Hybrids)
Shad: (American
and hickory)
Kokanee Salmon
Panfishes
NONGAME FISHES
(b) Exceptions
10
None
5
8 aggregate
(exes. 1 & 5)
1 0 aggregate
\1 m.
13 in.
18 in.
16 in.
(e.xcs. 1,5 & 11)
None
ALL YEAR
ALL YEAR
ALL YEAR
ALL YEAR
(exes. 5, 13,& 15)
ALL YEAR
None
7
ALL YEAR
None
None
ALL YEAR
(exes. 4. 12. & 16)
(exc. 12)
(exc. 4)
None
None
ALL YEAR
(exc. 14)
(exc. 14)
(exes. 6)
(1) In the Dan River upstream from its confluence with
Bannister River to the Brantly Steam Plant Dam. and
in John H. Kerr. Gaston, and Roanoke Rapids
Reservoirs, and Lake Norman, the creel limit on
striped bass and Morone h\brids is four in the
aggregate and the minimum size limit is 20 inches.
(2) In designated public mountain trout waters the season
for taking all species of fish is the same as the trout
fishing season. There is no closed season on taking
trout from Nantahala River and all tributaries
(excluding impoundments) upstream from Nantahala
Lake, and the impounded waters of power reservoirs
and municipally-owned w ater supply reservoirs open
to the public for fishing.
(3) Bass taken from Calderwood Reservoir ma\ be
retained w ithout restriction as to size limit.
(4) On Manamuskeet Lake, special federal regulations
appK.
(5) In the inland fishing waters of Cape Fean Neuse. Fee-
Dee. Pungo and Tar-Pamlico rivers and their
tributaries and the Roanoke Ri\"er and its tributaries.
including the Cashie. Middle, and Eastmost rivers,
extending upstream to the first impoundment, and
Lake Mattamuskeet. the daiK creel limit for striped
bass and their hybrids is three fish and the minimum
length limit is 1 8 inches. In the Roanoke Ri\'er and its
tributaries, including the Cashie. Middle, and
Eastmost rivers-from April 1 to May 31 no fish
between the lengths of 22 inches and 27 inches shall
be retained.
(6) See I5A NCAC IOC .0407 for open season^ for
taking nongame fishes b\' special devices.
(7) The maximum combined number of black bass of all
(8)
(9)
(10)
species that may be retained per day is five fish, no
more than two of which may be smaller than the
applicable minimum size limit. The minimum size
limit for all species of black bass is 14 inches, with no
exception in Lake Luke Marion in Moore County, in
Reedv Creek Park lakes in Mecklenburg Countv: in
Lake Rim in Cumberland County, in Currituck Sound
and tributaries north of Wright Memorial Bridge, in
North River and tributaries in Currituck and Camden
Counties north of a line between Camden Point and
the end of SR 1 124. in High Rock Lake downstream
of 1-85. in Badin Lake, in Falls Lake, in Lake Tillerv.
in Blewett Falls Lake, and in the New River and its
tributaries in Onslovs- County. In and west of
Madison. Buncombe. Henderson and Polk Counties
and in designated public mountain trout waters the
minimum size limit is 12 inches. In B. Everett Jordan
Reservoir a minimum size limit of 16 inches, with no
exception, applies to largemouth bass. In Falls of
Neuse Reservoir, east of SR 1004. and Tuckertown
Lake no black bass between the lengths of 12 inches
and 16 inches ma\ be retained, and the minimum size
limit for black bass is 16 inches, except that the daily
creel ma\ contain two black bass of less than 12
inches in length. In W, Kerr Scott Reservoir there is
no minimum size limit for spotted bass.
A minimum size limit of 15 inches applies to walle\e
taken from Lake James and its tributaries, and the
daily creel limit for walleye is four fish in Linville
River upstream from the NC 126 bridge above Lake
James.
The creel limit for black bass and walleve taken from
Calderwood Reservoir is 10.
The minimum size limit for all black bass, with no
494
NORTH CAROLINA REGISTER
September 7, 1998
13:5
PROPOSED RULES
exception, is 1 8 inches in the following trophy bass
lakes:
(A) Cane Creek Lake in Union County;
(B) Lake Thom-A-Lex in Davidson County; and
(C) Sutton Lake in New Hanover County.
(11) In all impounded inland waters and their tributaries,
except those waters described in Exceptions (I) and
(5), the daily creel limit of striped bass and their
hybrids may include not more than two fish of smaller
size than the minimum size limit.
(12) In Lake Tillery, Falls Lake, High Rock Lake, Badin
Lake, Tuckertown Lake, Lake Hyco, Lake Ramseur
and Cane Creek Lake a daily creel limit of 20 fish and
a minimum size limit of 8 inches apply to crappie. In
Lake James, a daily creel limit of 20 fish applies to
crappie.
(13) In designated inland fishing waters of Roanoke
Sound, Croatan Sound, Albemarle Sound, Chowan
River, Currituck Sound, Alligator River, Scuppemong
River, and their tributaries (excluding the Roanoke
River and Cashie River and their tributaries), striped
bass fishing season, size limits and creel limits shall
be the same as those established by duly adopted rules
or proclamations of the Marine Fisheries Commission
in adjacent joint or coastal fishing waters.
(14) The daily creel and length limits for channel, white,
and blue catfish in designated urban lakes are
provided for in ISA NCAC IOC .0401(d).
(15) The Executive Director may, by proclamation,
suspend or extend the hook-and-line season for
striped bass in the inland and joint waters of coastal
rivers and their tributaries. It is unlawful to violate
the provisions of any proclamation issued under this
authority.
(16) In the entire Lumber River from the Camp MacKall
bridge (SR 1225. at the point where Richmond.
Moore. Scotland, and Hoke counties join) to the
South Carolina state line and in all public fishing
waters east of 1-95, except Tar River Reservoir in
Nash County, the daily creel limit for sunfish is 30 in
aggregate, no more than 12 of which shall be
redbreast sunfish.
(17) In Sutton Lake, no largemouth bass may be retained
fi"om December 1 through March 3 1 .
(18) In the Pee Dee River downstream from the Blewett
Falls dam, shad may be taken with special fishing
devices without restriction to creel limits as provided
for in 15A NCAC IOC .0404 (b) during the permitted
special fishing device seasons specified in I5A
NCAC I OC .0407. American and hickory shad taken
under this Subparagraph may be sold as authorized
under subsection IOC .0401.
(19) The season for taking American and hickory shad
with dip nets, bow nets and drift gill nets is March 1
through April 30, except jn Pee Dee River
downstream fi-om Blewett Falls dam where the season
prescribed in ISA NCAC IOC .0407(4) and (75) is in
effect.
Authorities. 113-134: 113-292: 113-304: 113-305.
SECTION .0400 - NONGAME FISH
.0405 POSSESSION OF LICENSES
Except as indicated below, every individual participating in
the taking of fish through the use of any special device must
have the special device fishing license issued to him, personally,
in his possession or readily available for inspection, in addition
individuals harvesting American or hickory shad with dip nets,
bow nets or drift gill nets must have a special harvest permit
issued by the Wildlife Resources Commission. A bow net or a
dip net may be used by an individual other than the licensee with
the licensee's permission, but such user must have the license in
his possession or readily available for inspection, inspection:
provided, that when Also each user must obtain his own special
harvest permit for taking American and hickory shad. When
using drag seines authorized for taking nongame fishes at
beaches on inland fishing waters where there are migratory
saltwater fishes (herring, shad (herring or mullet), only the
principal owner and operator is required to be licensed.
Authority G.S. 113-134; 113-275; 113-276; 113-276.1;
113-292.
********************
Notice is hereby given in accordance with G.S. 150B-21.2
that the Department of Environment and Natural
Resources intends to amend the rule cited as 15A NCAC 12B
. 0901. Notice of Rule-making Proceedings was published in the
Register on January 2, 1998.
Proposed Effective Date: April 1. 1999
A Public Hearing will be conducted at 1:00 p.m. on Septetnher
18. 1998 at the Archdale Building. Ground Floor Hearing
Room, 512 N. Salisbury Street. Raleigh. NC 27611.
Reason for Proposed Action: The purpose of this amendment
to 15A NCAC 12B .0901 will be to allow the possession or use
of pyrotechnics in connection with an authorized public
exhibition as approved by the Division Director
Comment Procedures: Comments, statements, data, and other
information men' be submitted in writing within 30 days after the
publication of the September 1. 1998 issue of the North Carolina
Register Information and copies of the rule may be obtained by
contacting Gina Rutherford at the Division of Parks and
Recreation at 919/715-8710. Written comments may be
submitted to Gina Rutherford. Division of Parks and Recreation,
PO Box 27687. Raleigh, NC 27611.
Fiscal Note: This Rule does affecs the expenditures or revenues
of local government funds. This Rule does not affect the
expenditure or distribution of State funds subject to the
Executive Budget Act, Article 1 of Chapter 143 and does not
13:5
NORTH CAROLINA REGISTER
September 1, 1998
495
lara
PROPOSED RULES
have a suhstunilul economic impact of at least five million
dollars lS5.000.000i in a 1 2-month period.
CHAPTER 12 - PARKS AND RECREATION AREA
RULES
SUBCHAPTER 12B - PARKS AND RECREATION
AREAS
SECTION .0900
FIREARMS: EXPLOSIVES: FIRES:
ETC.
.0901 FIREARMS: WEAPONS: EXPLOSIVES
(a) No person except authorized park emploNees. their agents.
or contractors, or officers of the state shall carry or possess
firearms, airguns. bows and arrows, sling shots, or lethal missiles
of an\ kind within an) park.
(b) The possession or use of p\Totechnics and cap pistols is
prohibited. The possession or use of dxnamite or other powerful
explosi\es as defined in G.S. 14-284.1 is prohibited.
(c) TTie possession or use of p\TOtechnics is prohibited except
for p\Totechnics exhibited, used, or discharged in connection
\\ith an authorized public exhibition and approved by the
Director of the Division of Parks and Recreation, or designee.
Persons wishing to possess or use p\T0technics in connection
with a public exhibition, such as a public celebration shall file an
application for a special use permit with the appropriate park
superintendent. All applicants shall enter an indemnification
agreement w ith the Department and obtain general liability and
property damage insurance, with limits as determined by the
Secretary or designee, which are reasonably necessary to co\ er
possible liability for damage to property and bodiK injury or
damage to persons which may result from, or be caused by. the
public exhibition of pyrotechnics or any act(s) or omission(s) on
the part of the applicant(s) or the applicant's agents, seryants.
employees, or subcontractors presenting the public exhibition.
The Di\ision Director, or designee, may deny an application as
deemed necessary to protect the public health, safety, and
yvelfare. or to protect the natural resources of the park unit.
Authority- G.S. 14-410: 14-415: 113-35.
ratified "An .Act to Increase the Amount Paid to Physicians to
read X-Ray Films for the Diisn- Trades Program. " which
amended G.S. 9~-^2. Section 1. The amendment increased the
alloMahle fee paid to the members of the Advisoiy Medical
Committee to not more than forty dollars (S40.00) per film
examined. The fee per film shall be established by the Secretan-
for Health and Human Services as guided by the current
Medicaid Medicare reimbursement schedules for North
Carolina.
Comment Procedures: Comments, statements, and other
information may be submitted in writing within 30 days after the
publication date in the Sorth Carolina Register Copies of the
proposed rule may he obtained by contacting the Occupational
and Environmental Epidemiology Section at 919-~33-3680.
Written comments may be submitted to Susan Randolph.
Division of Epidemiology. OEES. PO Box 29601. Raleigh. North
Carolina 2-626-0601.
Fiscal Note: This Rule does affect the expenditure or
distribution of State funds subject to the Executive Budget Act.
.Article 1 of Chapter 143. This Rule does not ha\-e a substantial
economic impact of at least five million dollars (S5. 000, 000) in
a 1 2-month period.
CHAPTER 19 - HEALTH: EPIDEMIOLOGY
SUBCHAPTER 19C - OCCUPATIONAL HEALTH
SECTION .0200 - OCCUPATIONAL HEALTH
.0206 FEES FOR MEDICAL EXAMS IN DUSTY
TRADES
(a) Employers yvhose employees receive periodic radiographs
from the Department's mobile x ray unit pursuant to G.S. 97 60
will be charged a fee for each employee xraved. The fee w ill be
tysehe dollars (S12.00) per employee.
fb4 Employers will be charged a fee for each employee
screened b> the chest consultant pursuant to G.S. 97-60. The fee
for this will be five dollars (S5.Q0) eight dollars ($8.00) per
x-ray.
Authorit^■ G.S. 9'-'2(bl.
Notice is hereby given in accordance with G.S. 150B-21.2
that the Department of Health and Human Senices
intends to amend the rule cited as 15.4 NC.4C 19C .0206. Notice
of Rule-making Proceedings was published in the Register on
February 2. 1998.
Proposed Effective Date: April 1. 1999
A Public Hearing Mill he conducted at 10:00 a.m. on
September 28. 1998 at the Parker-Lincoln Building. Room
2A100. Conference Room. Occupational and Environmental
Epidemiology Section.
Reason for Proposed .Action: The 199' General .Assembly
TITLE 17 - DEPARTMENT OF REVENUE
Notice is hereby given that the Department of Revenue
intends to repeal rules cited as 1 ' NCAC 4D . 0204. . 0303.
.0305. .0401 - .0402. 0501, .0505 - .0506. .0508. .0610. .0901 -
.0903, .090~ - .0908. .1001. .1003. Notice of Rule-making
Proceedings was published in the Register on N A.
Editor's Note: G.S. 150B-l(d)l4) exempts the Department of
Revenue from Part 2 .Article 2A of Chapter 150 with respect to
the notice and hearing requirements. The Department will
hoMe^-er publish the text of proposed rules in the North Carolina
Register prior to the scheduled time of revie^v by the Rules
496
NORTH C.AROLIXA REGISTER
September 1, 1998
13:5
PROPOSED RULES
Review Commission.
Proposed Effective Date: July 1. 1999
Reason for Proposed Action: Section 4.2 of Chapter- 13 of the
1996 Second Extra Session repealed the soft drink tax, effective
July 1. 1999. These Rules are the rules that implement the soft
drink tax. These Rules will be obsolete on July 1, 1999, when
the soft drink tax is repealed.
Comment Procedures: Written comments may be submitted to
Ms. Brenda Coleman at North Carolina Department of Revenue,
Corporate, Excise, and Insurance Tax Division, PO Box 871,
Raleigh. NC 27602. Comments received will be taken into
consideration. If you have any questions, you may call Ms.
Coleman at 919-733-1352.
Fiscal Note: These Rules affect the expenditure or distribution
of State funds. These Rules do have a substantial economic
impact of at least five million dollars ($5,000,000) in a 12-month
period.
CHAPTER 4 - LICENSE AND
EXCISE TAX DIVISION
SUBCHAPTER 4D - SOFT DRINK TAX
SECTION .0200 - LICENSES
s>Tup. The tax on a gallon of syrup being one dollar ($1.00),
and since 1 6 ounces of powder are required to produce one
gallon of svTup. the tax levied in this instance would be at the
rate of six and one fourth cents (6 %0) per ounce of the dry
mixture.
(b) Concentrated mixtures which are used commercially for
compounding soft drink liquid base products are subject to tax
in proportion to the concentrates.
Example: Concentrate X is a quadruple strength syrup. This
concentrate represents four gallons of ready to use syrup. In
such instance, the tax rate on such concentrate would be four
dollars (S'l.OO) and would have to be tax paid accordingly by
the distributor, wholesaler or retailer.
(c) Prcmixod flavored milk shake drink mixes or premixed
flavored imitation milk shake drinlc mixes which are not in
ready to use size containers, and which milk shake drink mixes
are for the purpose of further dispensing before being ready for
consumption, are subject to tax based upon the amount of base
product used in the manufacture of same. The fact that such
products may be further chilled or partially frozen before being
dispensed would not affect this liability.
Approximately 10 percent of the premixed flavored milk shake
drink mixes represents the amount of base product used in the
manufacture of such premixed milk shake drink mix. Thus, a
soft drink tax often cents ($0.10) will cover the excise tax due
on the soft drink products used in the manufacture of one gallon
of premixed flavored milk shake drink mix. On a five gallon
container of premixed flavored milk shake drink mix. a soft
drink tax of fifty cents ($0.50) would be applicable. A dealer is
permitted to use this basis for payment of the tax on these
.0204 GENERAL LICENSE PROVISIONS
(a) All licenses shall be issued by the secretary on Form premixed flavored milk shake drink mixes
B B 4. Retail Dealer Soft Drink License: and Form BBS.
Distributor and/or Wholesale Dealer Soft Drink License.
(d) Premixed carbonated drinks, which are not in ready to use
size containers, and which drinks are for the purpose of further
(b) No license shall be assignable, transferable, or prorated. dispensing before being ready for consumption, are not
(c) Each license or such other evidence of license as the considered bottled soft drinks under the Soft Drink Tax Article,
secretary may authorize shall be exhibited in the place of Instead, the tax on same shall be determined on the basis of the
amount of liquid base product used in the manufacture of such
premixed carbonated drinks. Proper tax shall be applicable to
each such container based on the amount of liquid base product
used in producing such drink.
Using a five to one ratio, a liquid base product tax of seventeen
cents ($0.17) will cover the amount of liquid base in one gallon
business for which it is issued.
(d) Upon application to the secretary', a soft drinlc distributor,
wholesale dealer or retail dealer may obtain without charge a
duplicate license upon:
f4^ a satisfactory showing that the original license has
been lost, destroyed or defaced:
(2^ a satisfactory showing that the location of the place of premixed carbonated drink. A dealer is permitted to use this
basis for pa>'ment of the tax on these premixed carbonated
drinks. Thus, on a five gallon container of premixed drink, same
would require a liquid base tax of eighty five cents ($0.85).
Example: — A 600 ounce container of premixed carbonated
drink using this same five to one ratio, would represent
approximately 100 ounces of syrup. On this basis, a tax of
eighty cents ($0.80) would be applicable to each container of
premixed carbonated drink.
of business represented by the license has been
changed.
Each license shall bear the words "duplicate license" on its face.
Authority G.S 105-113.50: 105-262.
SECTION .0300 - TAX RATES
.0303 LIQUID BASE RATE ILLUSTRATED
(a) Whenever a dry mixture is converted to a liquid base, the .Authority G.S. 105-113.45: 105-262.
tax per ounce of dry mixture will be computed in direct ratio to
the quantity of ready to use liquid base produced.
Example: — Cocoa powder: generally, one pound of cocoa
powder is used in the manufacture of a gallon of chocolate
.0305 PRODUCTS NOT USED IN
MANUFACTURING PROCESS
All base products possessed or stored by the manufacturer
which arc not for use by such persons in the manufacture of
13:5
NORTH CAROLINA REGISTER
September 1, 1998
497
PROPOSED RILES
bottled soft drinks shall be stored in a separate compartment or
location from that known to be intended for use in the
.0402 REPRESENTATIVE LIST
The Department's representative list of taxable soft drink
manufacture of bottled soft drinks. Records must be maintained products, with comments as whether taxable domosticalK and/or
to reflect the quantity of such products that are stored or kept
within the separate compartment or location. The records must
include quantity of ingredients purchased, date received, and the
name and address of the person from whom the> were received,
date of vsithdravsal. user and the quantity withdrawn. All such
records shall be made available to the Secretary of Revenue or
an authorized agent at any time upon request for purpose of
examination for at least three vears.
commercially, is not intended to be exclusive, and the absence ^|
of any product on such list does not in any way indicate whether
or not the product is subject to the soft drink excise tax.
Authorin- G.S. 105-115.44;
105-113.4': 105-262.
105-115.45: 105-115.46:
Authority G.S. 105-115.45:
105-115.58: 105-262.
105-115.46: 105-115.5'
.0401
SECTION .0400 - TAXABLE STATUS OF
VARIOUS PRODUCTS
DOMESTIC USE VERSUS
COMMERCIAL USE
SECTION .0500 - EXEMPTIONS FROM SOFT
DRINK EXCISE TAX CONDITIONAL
.0501 FEDERAL GOVERNMENT
(a) Soft drink products may be sold to the federal government
and its instrumentalities, such as the Armed Forces Exchange
Sepi'icos. without the payment of the soft drink excise tax. but
sales of soft drink products by such services must be limited to
members of the armed forces and their dependents who hold
identification cards entitling them to make purchases through
(a) Bottled soft drinks are subject to tax both domestically and Armed Forces Exchange Ser\'ice5.
commercialK.
(b) Whenever tax exempt deliveries of soft drink products are
1^ — Liquid (frozen or unfi'ozen) base products that contain made b\ distributors, wholesalers or retailers to Armed Forces
milk or the package instructions indicate to add milk are exempt
when used domestically but taxable commercialK.
(c) Liquid (frozen or unfi'ozen) base products that do not moot
Exchange Services, the seller must require a duly receipted
invoice or cop\ thereof from the governmental agent designated
to accept deliver)'.
the exemption/registration requirements under G.S. 105 113.46 (c) If a person engages in the sale of an> soft drink products,
and G.S. — 105 113.47 are taxable both domesticalK and defined under the Soft Drink Act. on a military reservation:
regardless of the fact that he may have a contract with the federal
government, whereby the federal government will receive a
do contain 100 percent juice when reconstituted according to commission, flat foe or some other t>pe of compensation on such
approved sales: same does not exempt the sale of such products from the
excise tax. In such instance, such sales would not be made h\
commercially.
Example: Juice bases that do not contain 100 percent juice or
package directions but are not registered as
products.
(d) Drv base products such as hot chocolate mix or other dr>
mi-xes which contain milk or to which milk is added, per package
directions, are exempt domesticalK but taxable commercialK.
(e) Dry base products such as Tang. Country Time Lemonade.
Gatorade. Kool Aid. Oh Boy Drink. Tip Top. Miracle Aid. all .Auihorm- G.S. 105-115.46: 105-262.
similar products and all dr\ mixes which do not contain milk or
which the package directions do not indicate to add milk are
taxable both domestically and commercialK.
the federal government or an instrumentality thereof. Instead, all
such sales are subject to the soft drink excise tax and shall be tax
paid as required herein.
.0505 APPLICATION FOR EXEMPTION REQUIRED
(a) Registration of all natural juice and all bottled milk drinks.
(f) Base products that do not contain any milk are taxable both except a natural liquid milk drink produced b>' a farmer or a
dairy, is required under G.S. 105 113.47. An\ bottled soft drink
domesticalK and commercialK.
(g) Base products to which a liquid other than milk is added (juice or milk) for which exemption is claimed shall be
registered with the Secretary on Form BBS. Application for
Registration of Product for Exemption from Bottled (Closed
(h) Base products, even if classified as exempt for domestic Container) Soft Drink Excise Tax. Any concentrated fioiit or
to make a soft drinl^ are taxable both domestically and
commercialK'.
use. that are purchased b\ a commercial establishment from a
retail store immediately become taxable products and tax must
be paid thereon.
vegetable juice for which exemption is claimed shall be
registered w ith the Secretary on Form B B 50. Application for
Registration of Concentrated Frozen or Unfrozen Fruit or
Example: — Cocoa mix containing milk which is exempt Vegetable Juice for Exemption from the Soft Drink Excise Ta>:7
domestically but taxable commercially.
(i) Base products sold to commercial establishments such as
drug stores, drive ins. hospitals, restaurants, vending machines-
schools, and churches, are subject to the soft drink excise tax.
Authority- G.S. 105-115.45: 105-115.46: 105-115.4': 105-262.
(fe) — Three copies of the label which will be affixed to the
product or sample of the physical package showing weight and
content and supporting the claim for exemption must accompany
each application.
(e) — All bottled soft drinks and base products for which
exemption has not been provided under the Soft Drink Tax Act
are subject to tax both commercialK and domestically.
498
NORTH CAROLINA REGISTER
September 1, 1998
13:5
PROPOSED RULES
October 1 to September 30 of each year. — This equates to a
reduced rate of one half cent (\l2i) per bottled soft drink on the
First 2.160,000 drinks sold annually.
(c) Distributors and wholesalers who purchase non tax paid
ipected and audited by the Secretary' or duly authorized bottled soft drinks using a soft drink certificate of liability' as
representative at any time and without having to go through and provided for under G.S. 105 113.51(b) are not entitled to the
Aiithohty'G.S. 105-113.47: 105-262.
.0506 EXEMPT SALES RECORDS
Records must be maintained in such manner as can be
separate or segregate all sales of the taxpayer in order to arrive
at the amount of exempt sales. Every retail dealer and every
reduced rate on any drinks purchased under a certificate and are
subject to the tax at the full rate of one cent ($0.01 ) per bottle or
distributor or wholesaler and their customers must keep records one dollar and forty four cents ($1.44) per gross on all such
bottled soft drinks sold in North Carolina.
(4) — A wholesale sale is a sale made by a distributor or
wholesaler for resale and does not include a sale to the user or
ultimate consumer.
(e) No discount is allowed on wholesale sales of bottled soft
drinks tax paid at the reduced rate of one half cent (1/20) per
bottle.
Authority G.S. 105-113.51: 105-113.52: 105-262.
of inventories, purchases, and sales of bottled soft drink and
base products for at least 3 years.
Authority G.S. 105-113.51: 105-113.58: 105-262.
.0508 NATURAL PRODUCTS EXEMPTION
DETERMINED
(ft) — Farmers and dairies are not required to register natural
liquid milk. However, a milk drink is subject to the tax unless
exempted under G.S. 105 113.47.
(b) Except for added vitamins, minerals, sugar, or ingredients
extracted from an item and later returned to the item during the
manufacturing process, the addition of any other ingredients shall file monthly reports on Form B B 61 (Retail Dealer';
(such as salt, coloring, artificial flavoring, preservative, or
carbonation) to a bottled, concentrated or reconstituted juice
makes the product a taxable item.
Authority G.S 105-113.46: 105-113.47: 105-262.
.0902 REPORT BY RETAILER
Retail dealers, liable for the excise tax under G.S.
105 113.51.
Monthly Soft Drink — Excise Tax Report) covering such
ttansactions. This report is required whether or not any tax is
shown to be due. The Secretary will provide monthly reports
forms which must be filled out in detail, and any remittance due
must accompany these reports.
.0610
SECTION .0600 - TAXPAID INDICIA
(STAMP, IMPRINT, CROWN, OTHER)
ONLY NORTH CAROLINA
TAXPAID INDICIA ALLOWED
Authority G.S 105-113.51: 105-262.
.0903 REPORT BY DEALER ON TRAINS
Railroads operating interstate are permitted to sell nontaxpaid
bottled soft drinks in this State, but such carriers must notify' the
Any person making sales of bottled soft drinks or base Secretary' and report on Form B B 15 (Monthly Report of Sales
products in this State evidencing another state's taxpaid stamp. of Nontaxpaid Bottled Soft Drinks by Dealers on Trains). This
crown, or other indicia must give written notification to the report is due on or before the 15th day of each month showing
Secretar\' prior to such transactions. all taxable sales for the preceding month. A remittance for the
amount of the excise tax due the state on such sales must be
Authority G.S. 105-113.63: 105-262. submitted with the report.
SECTION .0900 - MONTHLY REPORT,
INVOICE AND BOND REQUIREMENTS
DISTRIBUTOR
OR
.0901 REPORT BY
WHOLESALER
(a) Distributors and wholesalers, liable for the tax under G.S.
105 113.51. must file monthly reports on Form B B 60
(Monthly Soft Drink Excise Tax Report of Distributor or
Wholesale Dealer) with the Secretary, showing ttansactions for
the preceding month. This monthly report is required whether
or not any tax is shown to bo duo. The secretary will provide
monthly report forms which must be filled out in detail, and any
remittance due must accompany these reports.
(b) Distributors and wholesalers, liable for the tax under G.S.
105 1 13.51. and who file timely reports are subject to the tax at
the reduced rate of seventy two cents ($0.72) per gross, instead
of one dollar and forty four cents ($1.44) per gross, on the first
15.000 gross of bottled soft drinks sold at wholesale from
Authority G.S 105-113.51: 105-262.
.0907 DISCOUNT FOR TIMELY FILING
AND PAYMENT
(a) Distributors and wholesale dealers liable for the soft drink
excise tax under G.S. 105 1 13.51 and who file timely reports
may deduct a four percent discount from taxes due on:
f+-) bottled soft drinks sold at retail.
(3-) bottled soft drinks sold in excess of the first 15.000
gross (2.160.000 bottles) sold at wholesale from
October 1 to September 30 of each year. — This
discount does not apply to bottled soft drinks tax due
under the 15.000 gross reduced rate [one half cent
(1/20 per bottle)] on wholesale sales.
(3-) wholesale or retail sales of base products.
f4-) bottled soft drinks and base products purchased
non tax paid using a soft drink certificate of liability
and sold in a taxable ttansaction.
13:5
NORTH CAROLINA REGISTER
September I, 1998
499
PROPOSED RULES
fb^ — Retail dealers liable for the soft drink excise tax under
G.S. 105 113.51 and who tile timely reports may deduct a I
percent discount from total taxes due on retail sales of bottled .1003
Authurin-G.S. 105-113.51: 105-262.
soft drinks and base products for the month. Retail dealers are
not required to be licensed or make monthly reports when they
purchase only taxpaid soft drink products.
LIABILITY UNDER G.S. 105-113.51(b) -
SOFT DRINK CERTIFICATE OF LIABILITY
fa^ — Presentation of a soft drink certificate of liability
(certificate of liability) to a distributor or wholesale dealer
%
(c) Failure to file a timely report with tax due for the month authorizes the distributor or wholesale dealer to sell non tax paid
will result in the Department of Revenue disallowing the four
percent discount for timely payment and adding General Statute
penalties and interest for late filing/failure to pay when due.
.Auihohty'G.S. 105-113.51: 105-113.52: 105-262.
.0908 INVOICING REQUIREMENTS
(a^ — Sales invoices of distributors and wholesalers, whether
bottled soft drinks or non tax paid base products to the
distributor, wholesale dealer, or retail dealer vsho presents the
certificate: it releases the distributor or wholesale dealer from
liability for any tax due on the sale and transfers the liability to
the distributor, wholesale dealer, or retail dealer who presents
the certificate.
(b) A resident distributor, wholesale dealer, or retail dealer
who desires to purchase non tax paid bottled soft drinks or non
resident or nonresident, liable for the tax shall indicate payment tax paid base products from a distributor or wholesale dealer
of the excise tax on bottled soft drinks and base products by the
wording "North Carolina Soft Drink Tax Paid."
(b) jAH — sales invoices of nonresident distributors or
wholesalers shall show the point of origin and mode of
transportation refiecting how the soft drink products come into
North Carolina and are delivered to the North Carolina account
for all shipments of bottled soft drinks or base products into this
Steter
(e^ — Distributors and wholesalers who are presented a soft
liable for the tax under G.S. 105 1 13.51(a) may obtain from the
Secretary a Fonn B B 60 COL. Soft Drink Certificate of
Liability for that purpose. The distributor, wholesale dealer, or
retail dealer who desires a certificate of liabilit\' must:
(4^
be registered with the Secretary as a soft drinlc
licensee under G.S. 105 113.50:
{¥) make a written request for the certificate to the
Secretary on company letterhead, signed by an
*^^ other authorized person for the company.
. wholesale dealer, or retail dealer who is
officer or i
drink certificate of liability b\ a distributor, wholesale dealer, or (c) The distributor, wholesale dealer, or retail dealer who is
retail dealer must indicate on the sales invoices to the presenter issued a certificate of liability by the Secretary' must present a
certificate completed in — its entiret\' to the distributor or
wholesale dealer liable for the tax under G.S. 105 113.51(a) in
order to purchase non tax paid bottled soft drinks or base
products.
(d) The distributor, wholesale dealer, or retail dealer who is
issued a certificate of liability' by the Secretary' and who presents
a certificate completed in its entirety to purchase non tax paid
soft drink products is liable for the full rate of tax on all
purchases made from the date the certificate is presented to a
distributor or wholesale dealer and the soft drink products are
subsequently sold in a taxable transaction.
of the certificate the wording "Sold Under a Soft Drink
Certificate of Liability" for all future non tax paid sales of
bottled soft drinks or base products.
.4 uthohty- G. S. 105-113.51: 1 05- 113.58: 1 05-262.
SECTION .1000 - LIABILITY FOR THE SOFT
DRINK EXCISE TAX
.1001 LIABILITY UNDER G.S. 105-113.51(a)
(a) The distributor or retail dealer who first manufactures and
distributes the soft drink products in this State is liable for (e) A retail dealer shall not present a certificate of liability to
payment of the soft drink excise tax.
(b) — The distributor, wholesale dealer or retail dealer who
brings soft drink products into this State is liable for the payment
of the excise tax. Examples are:
f4-) The out of state distributor, wholesale dealer or
retail dealer who brings such products into the State
on its own truck.
{2^ The in state distributor, wholesale dealer or retail
dealer who brings such products into the State on its
own truck,
(c) The distributor, wholesale dealer or retail dealer who first
receives or handles the soft drink products in this State is liable
for the payment of the soft drink excise tax. Examples are:
fH The distributor, wholesale dealer or retail dealer who
is the original consignee of any soft drink products
manufactured or produced outside this State.
{Or) The in state distributor, wholesale dealer or retail
dealer who first receive such products from outside
the State b\ common carrier or contract carrier
another retail dealer
{f) — A distributor or wholesale dealer, whether resident or
nonresident, and liable for tax under G.S. 105 113.51(a). to
whom a completed certificate is presented must accept the
certificate. — The distributor or wholesale dealer accepting the
certificate of liability must:
<4^ make all future sales of bottled soft drinks or base
products non tax paid to the person who presents the
executed certificate:
{^ indicate on the sales invoice that the non tax paid
soft drinks or base products are sold under a
certificate of liability by the wording. "Sold under -a
soft drink certificate of liability":
m-
provide to the Department, as part of the monthly
soft drink excise tax report, a copy of the fully
executed certificate of liability received for that
month.
(g) A certificate of liability applies prospectively to all sales
made b\ the distributor or wholesale dealer on or after the date
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PROPOSED RULES
the certificate is received from a particular customer.
1^ — The certificate of liabilit>' remains in effect until the
presenter of the certificate provides the distributor or wholesale
dealer written notice, on company letterhead and signed b\ an
officer or other authorized person for the presenter, advising the
specific date that the certificate no longer applies to purchases
from the distributor or wholesale dealer. — The distributor or
wholesale dealer who receives a notice revoking a certificate
must submit, as part of the soft drink monthly report, a copy of
the revocation letter with the next soft drink monthly report due.
(4^ — The distributor, wholesale dealer, or retail dealer who
presents the certificate and the distributor wholesale dealer who
accepts the certificate must keep a copy of the executed
certificate of liability on file together with a copy of any letter or
rescission for a period of at least three years. These records
must be maintained in such a manner as can be inspected and
have a substantial economic impact of at least five million
dollars (S 5. 000. 000) in a 12-month period
CHAPTER 2 - DIVISION OF HIGHWAYS
SUBCHAPTER 2D - HIGHWAY OPERATIONS
SECTION .0200 - LANDSCAPE
.0406 CONSTRUCTION AND MAINTENANCE OF
SIDEWALKS
(a) When a highway construction project having to do with the
widening of an existing street requires that an existing sidewalk
be torn up to make room for the widening, the Department of
Transportation shall replace the sidewalk.
(b) For construction and widening projects where sidewalk
audited at any time by the Secretary or a representative of the did not originally exist, the Department of Transportation shall
Secretary.
not participate in the construction of the sidewalks. If adequate
(j) A soft drink certificate of liability is not transferable or right of way is available, the Department of Transportation wil
grade out a level walking area in the strip from the back of the
curb to the right of way. — The municipality may. at its own
assignable and is to be used only by the licensee issued the
certificate by the Secretary.
Author it\- G.S. 105-113.51: 105-262.
TITLE 19A - DEPARTMENT OF TRANSPORTATION
Notice is hereby given in accordance with G.S. 1 50B-21.2
that the NC Department of Transportation-Division of
Highways intends to amend the rule cited as 19A NCAC 02 D
. 0406. Notice of Rule-making Proceedings was published in the
Register on May 15. 1998.
Proposed Effective Date: May 1. 1999
Instructions on How to Demand a Public Hearing: A
demand for a public hearing must be made in writing and
mailed to Emily Lee. NC Department of Transportation. PO Box
25201, Raleigh. NC 27611. The demand must be received
within 15 days of this notice.
Reason for Proposed Action: To comply with the Pedestrian
Policy adopted by the Board of Transportation on August 6.
1993. The Board of Transportation Policy was adopted as a
result of federal ISTEA requirements. Changes in the federal
legislation placed a higher prior it}- on funding for sidewalks.
The proposed amendmetits will bring the NC.4C into agreement
with the previously adopted Board policy and the current DOT
highway project planning procedures.
Comment Procedures: .Any interested person may submit
written comments on the proposed rule by mailing the comments
to Emily Lee. NC Department of Transportation, PO Box 25201,
Raleigh, NC 27611 by October 1. 1998.
Fiscal Note: This Rule does not affect the expenditures or
revenues of state or local government funds. This Rule does not
discretion, construct sidewalks. If the municipality desires
sidewalks as a part of the construction project, they will be
constructed and the cit\' will reimburse the Department of
Transportation for the cost of the sidewalks by appropriate
municipal agreement.
(c) In unusual hardship cases where heavy pedestrian traffic
must make use of an existing road and creates a dangerous
situation, particularly at schools beyond the corporate limits of
municipalities, the Department of Transportation will consider
on an individual basis the construction of some graded out area
for a sidewalk. Approval of the sidewalk construction must be
by the Board of Transportation.
(b) The Department shall evaluate the need for sidewalks in
the planning process. The Department shall assess information
provided by the local aovemment. Transportation Advisory
Committee, and departmental engineering studies.
(c) The Department shall analyze the existing and projected
future need for a pedestrian facility jn every major highway
project planning report. The Department may construct a
sidewalk if the need is documented and funding is available.
(d) The Department and the local sponsor shall negotiate
financial responsibilities for a new sidewalk based on planning
studies.
(e) The Department shall execute a pedestrian facilities
maintenance agreement specifying responsibility for long term
maintenance with the lead government entity or other local
sponsor prior to construction for a proposed sidewalk.
Authority G.S. 136-66.1: 143B-346: 143B-350{f): 143B-350(g):
23 U.S.C. 133: 23 U.SC. 217.
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501
PROPOSED RULES
TITLE 21 - OCCUPATIONAL LICENSING BOARDS
CHAPTER I - NORTH CAROLINA
ACUPUNCTURE LICENSING BOARD
Notice is hiereby given in accordance with G.S. 150B-21.2
ihal the NC Acupuncture Licensing Board intends to
amend the rules cited as 21 NCAC 01 .0101: adopt rule 21
NCAC 01 .0105. Notice of Rule-making Proceedings was
published in the Register on May 15. 1998.
Proposed Effective Date: April 1. 1999
A Public Hearing will he conducted at 10:00 a.m. on
September 30, 1998 at Management Concepts. 1418 Avers boro
Road Garner NC 27529.
Reason for Proposed Action: 21 NCAC 01 .0101 - The
purpose of this amendment is to update agency names as
referred to in the rules and to correct a critical clerical error in
the original rule. 21 NC.4C 01 .0105 - The purpose is to
establish qualifications for licensure through reciprocity.
Comment Procedures: Any person may submit comments to the
Board orally or in writing no later than October 1. 1998 to
Diana Mills at the NC Acupuncture Licensing Board. 1418
Aversboro Road. Garner NC 2 7529.
Fiscal Note: These Rules do not affect the expenditures or
revenues of state or local government funds. These Rules do not
have a substantial economic impact of at least five million
dollars fS5. 000.000) in a 12-month period.
SECTION .0100 - LICENSURE
.0101 QUALIFICATIONS FOR LICENSURE
In addition to and for the purposes of meeting the
requirements of G.S. 90-455 an applicant for licensure to
practice acupuncture shall:
(1)
(2)
(3)
(4)
Submit a completed application.
Submit fees as required by Rule .0103 of this Section.
Submit proof of a score of not less than 70° o on the
National — Commission — fef — the — Certification — of
Acupuncturists — (NCCA) National Certification
Commission for Acupuncture and Oriental Medicine
(NCCAOM) certifi'ing — e.xamination acupuncture
written & point location exams or a score of not less
than 70° 0 from an\ state utilizing the NCCA
NCCAOM examination.
Submit a certified copy, certified b>' the issuing
institution, of a transcript including evidence of
graduation from a three-year postgraduate
acupuncture college, accredited by, or in candidac\
status by, the Accreditation Commission for
Acupuncture and Oriental Medicine, or. if outside of
the U.S.. the California Acupuncture Committee.
(5) Submit proof of successful completion of the Clean
Needle Technique course offered by the Council of
Colleges of Acupuncture and Oriental Medicine
(CCAOM).
(6) With any document that is not in English in its
original form, submit a translation of it into English
by someone other than the applicant. Each translated
document shall have affixed to it a notarized
statement of the translator certifying that he or she is
competent in both the language of the original
document and English and that the translation is a true
and complete translation of the foreign language
original. The applicant shall assume the cost of any
document necessary for a complete application.
(7) Submit all correspondence to North Carolina
Acupuncture Licensing Board. P.O. Box 25171.
Asheville. NC 28803. 1418 Aversboro Road. Gamer.
NC 27529.
Authority G.S. 90-454: 90-455.
.0105 QUALIFICATIONS FOR LICENSURE
THROUGH LICENSE RECIPROCITY
An applicant for licensure to practice acupuncture in North
Carolina shall:
(1) Submit a completed application;
(2) Submit fees as required by Rule .0103 of this Section:
(3) Have submitted directK to the North Carolina
Acupuncture Licensing Board, an official original
letter from the licensing board of another jurisdiction
with whom the North Carolina Acupuncture
Licensing Board has a reciprocal licensing agreement,
verifs'ing that the applicant is currently licensed and in
good standing in such jurisdiction.
Author ir\- G.S. 90-454: 90-455.
K W W « W
■K -K -K -K
CHAPTER 18 - BOARD OF EXAMINERS
OF ELECTRICAL CONTRACTORS
Notice is hereby given in accordance with G.S. 150B-21.2
that the NC State Board of Examiners of Electrical
Contractors intends to adopt the rule cited as 21 NCAC 18B
.0^06: amend the rules cited as 21 NCAC 18B .0108. .0201-
.0203. .0402. .0406. .0501. .0504-.0505. .0701-.0704. .1101-
. 1102. . 1104: 1105 and repeal the rules cited as 21 NCAC ISB
. 1001-. 1004. Notice of Rule-making Proceedings was published
in the Register on May 15. 1998.
Proposed Effective Date: March 1. 1999
A Public Hearing will he conducted at 2:00 p.m. on October ".
1998 at the Offices of State Board of Examiners of Electrical
Contractors. 1200 Front Street. Suite 105. Raleigh. NC 2'7609.
Reason for Proposed Action: The Board and its staff see the
502
NORTH CAROLINA REGISTER
September 1, 1998
13:5
PROPOSED RULES
need to study the rules periodically, for needed changes. The
Board and stafi studied all existing rules to determine whether
any rules need to he amended or repealed and whether any new
rules are tieeded. After careful study Board and staff saw the
need to amend some rules, repeal some rules, and adopt one
rule.
contents of the petition submitted and pkis any other information
filed with or obtained by the means described herein. Board.
Authority G.S. 87-42: I50B-20.
SECTION .0200 -EXAMINATIONS
Comment Procedures: Interested parties may submit written
comments to the State Board of Examiners of Electrical
Contractors, PO Box 18727, Raleigh. NC 27619-8727. by mail,
or by hand delivery to the Board at 1200 Front Street. Suite 105.
Raleigh. NC 27609. Written statements must be delivered no
later than the date and time of the public hearing. Also, oral
statements may be made at the public hearing.
Fiscal Note: These Rules do not affect the expenditures or
revenues of state or local government funds. These Rules do not
have a substantial economic impact of at least five million
dollars ($5,000,000) in a 1 2-month period
SUBCHAPTER 18B - BOARD'S RULES FOR THE
IMPLEMENTING OF THE ELECTRICAL
CONTRACTING LICENSING ACT
SECTION .0100 -GENERAL PROVISIONS
.0108 PETITION FOR RULE-MAKING
PROCEDURES
(a) Any person wishing to request the Board to adopt, amend,
or repeal a rule shall address file a petition te with the Board at
the Board's address, pursuant to G.S. 150B-20, by mail or
personal delivery. The petition shall be signed by the petitioner
and shall include the petitioner's address.
(b) There is no particular form required for the petition:
however, — the — petitioner — should — include — the — following
information: petition.
f4-) an indication of the subject area to which the petition
is directed and an identification of the rule to be
amended or repealed:
(3) either a draft of the proposed rule or a summary of its
contents:
{¥) reasons for the proposal:
(4) the effect of the proposal on existing rules or orders;
(#) any data supporting the proposal: and
f6) name(s) and addressees) of petitioner(s).
(c) The Board will determine whether the public interest will
be served by granting the petitioner's request. The Board shall
grant the petition [f ]t finds the requested rule change would
comply with the requirements of law and, if so, it would likely
serve the public interest. Prior to malcing this determination, the
The Board may request additional information from the
petitioner(s), petitioner and may contact interested persons or
persons likely to be affected by the proposal and request their
comments, or may use any other appropriate method for
obtaining comments m order to obtain information upon which
to base the determination of public interest. Before granting or
denying the petition. The the Board shall consider all of the
.0201 REQUIREMENTS FOR ALL EXAMINATION
APPLICANTS
(a) To take an examination in any electrical contracting
license classification, the applicant must:
( 1 ) be at least 1 8 years of age:
(2) submit the required duly filed application as defined
in Rule .0210:
(3) submit with the application written statements from at
least two responsible persons attesting to the
applicant's good character: and
(4) meet any other requirements set out in Paragraph (b)
of this Rule.
(b) Examination applicants must meet the following
requirements for the specified license classifications:
(1) Limited classification. An applicant must have at
least two four years of primary experience or
experience, as defined in Rule .0202 of this Section.
of which at least one year two years shall be ef
primary experience experience, supplemented by
secondary experience equivalent to one year of
supplementary' primary experience as defined in Rule
.0202 of this Section. The balance of experience may
be primary, secondary or both.
(2) Intermediate classification. An applicant must have at
least -few six years of primary — experience — er
experience, as defined in Rule .0202 of this Section,
of which at least two and one half years of four years
shall be primary experience experience, supplemented
by secondary experience equivalent to one and one
half years of supplementary primary experience as
defined in Rule .0202 of this Section. The balance of
experience may be primary, secondary or both.
(3) Unlimited classification. An applicant must:
(A) have at least ftve seven years of primary
experience or experience, as defined in Rule
0202 of this Section
ef
of which at least few
shall be primary experience
upplementod — by — secondary
equivalent — te — one — year — ef
(B)
five years
experience.
experience
supplementary primary experience as defined
in Rule .0202 of this Section: The balance of
experience may be primary, secondary or both,
and
submit with his thie application written
statements from at least two responsible
persons, who are knowledgeable of the
applicant's electrical experience, attesting to the
applicant's abilit>' to satisfactorily supervise
and direct all electrical wiring or electrical
installation work done by an electrical
contracting business in the unlimited
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September 1, 1998
503
PROPOSED RULES
classification.
(4) Single famiK detached residential dwelling (SP-SFD)
classification. An applicant must have at least twe
four years of primap> e.yperience or experience, as
defined in Rule .0202 of this Section, of which at least
one year of two \ears shall be primar\ experience
experience, supplemented by secondary experience
equivalent to one year of supplementary primar>
experience as defined in Rule .0202 of this Section.
The balance of experience mav be primary, secondary
or both.
(5) Special restricted low voltage (SP-LV) classification.
An applicant must have at least twe three \ears of
primarv experience or experience, as defined in Rule
.0202 of this Section, of which at least one year of
two years shall be primarv experience experience.
supplemented b\ secondary experience equivalent to
one year of supplementarv primary experience as
defined in Rule .0202 of this Section. The balance of
experience maN be primary, secondary or both. An
applicant in this classification must may also receive
creditable experience for service in anN of the
capacities listed in Rule .0202 which he that the
applicant gained in the low voltage field.
(6) Special restricted elevator (SP-EL) classification. An
applicant must:
(A) have at least four years of primary experience
ef experience, as defined in Rule .0202 of this
Section, of which at least two and one-half
\ears ef shall be primary experience
experience, supplemented — by — secondary
experience equivalent to one and one half years
ef — supplementary — primary — experience — as
defined in Rule .0202 of this Section. The (9)
balance of experience ma\ be primary.
secondary or both. An applicant in this
classification ma\ also receive creditable
experience for service in any of the capacities
listed in Rule .0202 which he that the applicant
gained in the ele\ ator field, field, and
(B) include on hts the application information
verifying that he the applicant is primariK
engaged in. or is regularh employed b> and
will be the listed qualified individual for a firm
that is primarily engaged in. a lawful elevator
business in this state. State.
(7) Special restricted plumbing and heating (SP-PH)
classification. An applicant must:
(A) have at least twe three \ears of primary
experience or experience, as defined m Rule
.0202 of this Section, of which at least one > ear
ef two years shall be primary experience
experience, supplemented — by — secondary
experience — equivalent — te — ene — year — evf
supplementary primary experience as defined (10)
in Rule .0202 of this Section. The balance of
experience may be primary, secondary or both.
An applicant in this classification may also
receive creditable experience for service in any
of the capacities listed in Rule .0202 which he
that the applicant gained in the plumbing,
heating or air conditioning field, field, and
(B) include on his the application information
verifying that he the applicant is primarily
engaged in. or is regularly employed by and
will be the listed qualified individual for a firm
that is primarily engaged in, a lawful plumbing,
heating or air conditioning business in this
stater State.
(8) Special restricted ground water pump (SP-WP)
classification. An applicant must:
(A) have at least tyvo years of primary experience
er experience, as defined in Rule .0202 of this
Section, of which at least one year ef shall be
primary experience experience, supplemented
by secondary experience equivalent to one year
ef — supplementary — primary — experience — as
defined in Rule .0202 of this Section. The
balance of experience may be primarv.
secondary or both. An applicant in this
classification may also receive creditable
experience for service in any of the capacities
listed in Rule .0202 which he that the applicant
gained in the ground water pump field, field,
and
(B) include on his the application information
verifying that he the applicant is primarily
engaged in. or is regularly employed by' and
will be the listed qualified individual for a firm
that is primarily engaged in. a lawful ground
water pump business in this state. State.
Special restricted electric sign (SP-ES) classification.
An applicant must:
(A) have at least two years of primary experience
er experience, as defined in Rule .0202 of this
Section, of which at least one year ef shall be
primary experience experience, supplemented
by secondary experience equivalent to one > ear
ef — supplementary — primary' — experience — as
defined in Rule .0202 of this Section. The
balance of experience may be primary,
secondary or both. An applicant in this
classification may also receive creditable
experience in anv of the capacities listed in
Rule .0202 which he that the applicant gained
in the electric sign field, field, and
(B) include on his the application information
verifying that hs the applicant is primarily
engaged in. or is regularly employed by and
will be the listed qualified individual for a firm
that is primarily engaged in. a lawful electric
sign business in this State.
Special restricted sv\imming pool (SP-SP)
classification. An applicant must:
(A) have at least nvo v ears of primary experience
er experience, as defined jn Rule .0202 of this
504
NORTH CAROLINA REGISTER
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PROPOSED RULES
Section, of which at least one year ef shaM be
priman. experience experience, supplemented
by secondar. experience equivalent to one > ear
of supplementar>' — primar> — experience — as
defined in Rule .0202 of this Section. The
balance of experience ma\' be primary,
secondary or both. An applicant in this
classification may also receive creditable
experience for service in any of the capacities
listed in Rule .0202 which he that the applicant
gained in the swimming pool field, field, and
(B) include on his the application information
verifying that he the applicant is primarily
engaged in, or is regularly employed by and
will be the listed qualified individual for a firm
that is primarily engaged in. a lawful
swimming pool business in this state. State.
Authority G.S. 87-42: 87-43.3: 8''-43.4: 87-44.
.0202 EXPERIENCE
(a) Primary. Primary experience shall mean working
experience gained by the applicant while engaged actively and
directly in the installation of electrical wiring and equipment
governed by the National Electrical Code or work activities
directly related thereto. Examples of the capacity in which a
person may work in gaining primap.' experience include:
(1) journeyman electrician or electrician mechanic:
mechanic, both meaning the same;
(2) electrical foreman;
(3) electrical general foreman;
(4) electrical superintendent;
(5) electrical general superintendent;
(6) estimator for licensed electrical contractor;
(7) electrical inspector recognized as such b\ the State
Department of Insurance;
(8) time spent by a registered professional engineer who
is responsible for follow-up project supervision.
beyond the point of delivery, in electrical engineering.
design, or consulting;
(^ full time instructor teaching National Electrical Code
and related electrical courses at a community college.
technical institute, college, or similar institution;
fWK9) maintenance journeyman electrician or electrician
mechanic employed in a full-time electrical
maintenance department;
fJ-J-KIO) time actually spent in electrical maintenance by a
maintenance joumexTnan electrician or electrician
mechanic regularly employed in other than a full-time
electrical maintenance department;
f434(ll) military person holding an electrician rating or rank of
at least E-4 who is engaged in land based electrical
installations similar or equivalent to work performed
h\ an electrical contractor:
(13')(12) time actually spent in part-time or incidental work in
any primary experience category.
In calculating accumulative primary experience, a total of 2.000
hours shall equal one creditable year. The total number of
creditable years shall be calculated by dividing the total hours of
primary experience by 2,000. Example: Individual Applicant
has worked in primary capacity for a total of 7.200 hours of
primary' experience.
7.200 = 3.6 years creditable primary work experience
2.000
(b) Secondary. Secondary experience shall mean working
experience gained while engaged in work or training which that
is related in varying degrees to the installation of electrical
wiring and equipment governed by the National Electrical Code.
Examples of the type of work or training in which a person may
engage to gain creditable secondary experience and the
percentages of supplementary primary experience for creditable
from secondary experience are as follows:
(1)
(2)
(3)
(4)
(5)
journeyman electrician or electrician mechanic: mechanic, both meaning the same:
apprentice electrician or helper other than as described in Items ( I ) and (3) of this list;
time actualK spent in electrical maintenance b> a maintenance apprentice or electrician
helper regularly employed in other than a full-time electrical maintenance department;
electrical engineering courses at a college: instructor teaching National Electrical Code and
related electrical courses at a university, college, community college, technical institute, high
school or vocational school:
electrical courses at a technical institute or bv correspondence: student satisfactorily
completing National Electrical Code and related electrical courses at a university, college.
community college, technical institute, high school or vocational school;
^ electrical courses at a high school or vocational school;
ffl(6) time spent b> a registered professional engineer who is not responsible for follo\\ -up project
supervision, beyond the point of delivery, in electrical engineering, design, or consulting;
Percentage
100
80
80
50
60 50
40
50
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NORTH CAROLINA REGISTER
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SOS
SBBI
PROPOSED RULES
f^(7) electrical construction design under the supervision of a registered professional engineer;
(94(8) sales engineering representative for an electrical wholesaler, distributor, or manufacturer;
f-l-04(9) appliance service and repair;
f-l44( 10) electric utility lineman;
f-I^MJJ electric utilits serviceman.
50
3^20
4^20
3# 10
40 20
In calculating accumulative secondary experience, a total of
2.000 hours shall equal one creditable \ear. The total number of
creditable \ears shall be calculated by applving the percentage
for creditable secondary experience and dividing the remainder
hours by 2.000. Examples of conversion of secondarv
experience to primarv experience: Example: Applicant has
1.000 hours of work, experience as a helper or regular apprentice
and 2.200 hours of experience vshile enrolled in an approved
apprentice training program: 1.100 hours at 80 percent = 800
hours supplementary primary secondary experience; 2.200 hours
at 100 percent = 2,200 hours supplementary primary secondary
experience;
800 :;: 2,200 = 1 .5 years creditable supplementarv-
2.000 primary' secondary experience
(c) Other Experience. An applicant may submit for
evaluation by the Board information on work, training or
education he feels is The Board shall approve other experience
that ]t finds to be equivalent or similar to the primary or
secondary experience defined in this Rule.
Authohn- G.S. 8^-42: 8'-43.3: 8^-43.4.
or similar to the name in y^'hich a license has already been issue.
If an> license applicant objects to the staffs determination, he
may appeal to the Board for a final determination. If the name
requested, after deleting all spaces, punctuation marks, articles,
prepositions, conjunctions and, whether abbreviated or not,
"corporation." "incorporated." "company." or "limited," js not
identical to the name in yvhich a license has already been issued,
it shall be distinguishable. The substitution of a numeral for a
yvord that represents the same numeral shall not make the name
distinguishable.
(b) Name In Which Business Must Be Conducted. All
electrical contracting business, including all business advertising
and the submission of all documents and papers, conducted in
the state of North Carolina by a licensee of the Board shall be
conducted in the exact name in which the electrical contracting
license is issued.
(c) Notification of Address and Telephone Change. All
licensees shall notif\ the Board in writing within 30 days of any
change in location or mailing address and telephone number.
Author in' G.S. 8" -42.
.0203 EXAMINATION SCOPE
(a) General. In addition to the examination scope subjects
specified in G.S. 87-42, qualifying examinations for each license
classification shall include permit and inspection requirements,
business practices and the North Carolina laws statutes and rules
applicable to electrical contracting, contracting, including
revenue — license — requirements — and — ponnit — and — inspection
requirements.
(b) Variation in Scope. The examinations for each license
classification shall be based on a level of technical and practical
knovsledge concerning the safe and proper installation of
electrical work and equipment yvhich is appropriate and that
corresponds to the electrical contracting work authorized under
each license classification.
Authorin-G.S. 8'-42: 8'-43.3: 8~-43.4.
SECTION .0400 - LICENSING REQUIREMENTS
.0402 LICENSE NAME REQUIREMENTS
(a) Issuance of License. No license shall be issued by the
Board in a name which is the same as or similar to The name in
yvhich a license is issued must be distinguishable upon the
records of the Board from the name in yshich a license has
already been issued. The Board's staff shall determine whether
or not the name requested on a license application is the same as
.0406 RENEWAL AFTER EXPIRATION OF
ANNUAL LICENSE
(a) Subject to Rule .0906 of this Subchapter, any licensee
yvhose license has expired soIeK' because of failure to apply for
renewal may apply and have rts the license renewed y\ithout
further examination, and in compliance with the penalty
pro\isions contained in G.S. 87-44. if that the applicant makes
application therefore yvithin a period of 12 months immediately'
folloyv ing the date the license expired.
(b) If the application is filed later than 12 months immediately
following the date the license expired, the applicant may have
the license reneyved if. during the 12 month period immediately
preceding the date the application is filed with the Board, the
applicant's listed qualified individual has been primarily, actively
and layvfull> engaged (at least 1,000 hours) as an electrical
contractor or for at least 1,000 hours in an occupation y\hich in
the judgement of the Board is similar or equivalent to that of an
electrical contractor, of primary experience as defined in Rule
.0202 of this Subchapter or completed 18 contact hours of
approved continuing education. Layvful yvork as defined under
primary experience in Rule .0202 of this Subchapter shall be
considered as similar or equivalent to that of an electrical
contractor. If the
(c) An applicant fatte failing to meet these requirements, the
requirements of Paragraphs (aj or £bj of thjs Rule it may obtain
a new license in accordance with Section .0200 of this
506
NORTH CAROLINA REGISTER
September /, 1998
13:5
PROPOSED RULES
Subchapter and Rule .0401 of this Section.
fb4 (d] The provisions of Section .0600 of this Subchapter
apply to applicants whose last license expired on or before June
30. \91Q).
Authority G.S. 8'' -42.
SECTION .0500 - LICENSING OPTIONS
.0501 RECLASSIFICATION OF CURRENT LICENSE
(a) Afw A licensee has the unrestricted right to may lower
have the license classification of his license lowered from
unlimited er to intermediate or limited, or from te intermediate
or limited to limited, by:
(1) filing a written request with the Board Board, jn
writing, specifically requesting a request for the
lowering of hk the license classification; and
(2) surrendering his the current license certificate to the
Board for replacement as requested.
(b) A licensee may have a license that was lowered pursuant
to Paragraph (a) of this Rule raised to a classification up to and
including that classification from which it was lowered by:
(1) filing with the Board, in writing, a request for the
raising of the license classification;
(2) surrendering the current license certificate to the
Board for replacement as requested; and
(3) paving the applicable license fee. If a change is made
prior to the expiration of a current license, the fee
shall be the difference between the annual license fee
for the existing license and the annual license fee for
the new class license requested. If the change is made
at the expiration date, the fee shall be the annual
license fee for the class license requested.
f^c) A limited or intermediate licensee whose license has
not been lowered pursuant to Paragraph (a) of thus Rule ma\
have the license classification of his current license raised to
intermediate or unlimited by:
submitting:
(1) an application on a form fijmished by the Board
indicating the classification of the license desired;
f4-H2) meeting all the requirements for the classification in
effect when the application is made, including taking
and passing the examination; and
f3^3) paying the applicable license fee. If a change is made
prior to the expiration of a current license, the fee wtH
shall be the difference between the annual license fee
for the existing license and the annual license fee for
the new class license requested. If the change is made
at the expiration date, the fee w4W shall be the annual
license fee for the class license requested.
(€) £d} Licenses in the single family detached residential
dwelling (SP SFD) classification and in any special restricted
classification are not subject to reclassification. A change in
these classifications can be effected only on the basis of a new
application subject to all of the normal processing and
examination requirements.
Authorit\- G.S. 87-42: 87-43.3: 87-43.4.
.0504 ONCE LISTED BUT NOT NOW LISTED
(a) Afl-A qualified individual who has once been was
formerly but is not now indicated listed on any license may apply
for and obtain his own a license upon meeting all current
licensing requirements he has not previously met and by
submitting to the Board:
(1 ) his a license application on a form furnished by the
Board;
(2) payment of the appropriate license fee; and
(3) if more than 12 months has elapsed since the listed
qualified individual was indicated listed on an active
license, information verifying that, during the
immediate past twelve months, he has been primarily,
actively and lawfully engaged (at least 1000 hours) in
an occupation which in the judgment of the Board is
similar or equivalent to that of an electrical contractor.
Lawful work as defined under primary' experience in
Rule .0202 of this Subchapter shall be considered as
similar or equivalent to that of an electrical contractor.
12 month period immediately preceding the date the
application is filed with the Board, the qualified
individual has engaged for at least 1.000 hours in an
occupation of primary experience as defined in Rule
.0202 of this Subchapter or completed 18 contact
hours of approved continuing education.
(b) A qualified individual who was formerly but is not now
listed on any license may be listed on a current active license in
the same or a lower classification as the classification of
examination passed by submitting to the Board;
(1) a written request from the licensee, co-signed by the
qualified individual, requesting the Board to list the
qualified individual on the license;
(2) the licensee's current license certificate; and
(3) if more than 12 months has elapsed since the qualified
individual was listed on an active license, information
verifying that, during the V2 month period
immediately preceding the date the application is filed
with the Board, the qualified individual has engaged
for at least 1.000 hours jn an occupation of primary
experience as defined in Rule .0202 of this
Subchapter or completed 18 contact hours of
approved continuing education.
Authority' G.S. 87-42: 87-43.
.0505 QUALIFIED INDIVIDUAL: NEVER
LISTED NOR OBTAINED LICENSE
An A qualified individual who has once taken and passed the
qualifying examination for a license but has never obtained a
license nor been a listed qualified individual on any license shall:
(1) be eligible to obtain a license in the same or lesser
lower classification as the classification of
examination he passed upon meeting any aU current
licensing requirements he has not previously met and
by submitting to the Board:
(a) his a license application on a form flimished by
the Board;
(b) paN'ment of the appropriate license fee; and
13:5
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September 1, 1998
507
PROPOSED RULES
(c) if more than twelve 12 months have has
elapsed since the qualified individual took and
passed the qualifying examination for a license.
infonnation verifying that, during the
immediate — past — 1^ — months. — he — has — beea
primarily, actively and lawfully engaged (at
least 1000 hours) in an occupation which in the
judgment of the Board is similar or equivalent
to that of an electrical contractor. Lawful work
as defined under primary experience in Rule
.0202 of this Subchapter shall be considered as
similar or equivalent to that of an electrical
contractor. 12 month period immediately
preceding the date the application is filed with
the Board, the qualified individual has engaged
for at least 1.000 hours jn an occupation of
primary experience as defined in Rule .0202 of
this Chapter or completed 18 contact hours of
approved continuing education.
(2) be eligible to be included as an additional a listed
qualified individual on a current active license in the
same or a lesser lower classification as the
classification of examination he passed upon
submitting to the Board:
(a) a written request from the licensee, co-signed
by the qualified individual, requesting the
Board to include list the qualified individual as
one of the listed qualified individuals on his or
his firm's the license;
(b) the licensee's current license certificate; and
(c) if fte more than 12 months have has elapsed
since the individual took and passed the
qualifying examination for a license,
information verifying that, during the
immediate past — 12 months, he has been
primarily, actively and lawfully engaged (at
least 1000 hours) in an occupation in which the
judgement of the Board is similar or equivalent
to that of an electrical contractor. Lawful work
as defined under primary experience in Rule
.0202 of this Subchapter shall be considered as
similar or equivalent to that of an electrical
contractor. — 12 month period immediately
preceding the date the application is filed w ith
the Board, the qualified individual has engaged
for at least 1.000 hours in an occupation of
primary experience as defined in Rule .0202 of
this Chapter or completed 18 contact hours of
approved continuing education.
Aulhorin-G.S. 87-42: 87-43.
SECTION .0700 - LICENSING RECIPROCITY
.0701 GENERAL REQUIREMENTS
(a) The Board may enter into formal reciprocal agreements
with contracting licensing boards of other states whereby
nonresident electrical contractors licensed by the other state
boards may obtain a North Carolina electrical contracting license
without written examinations provided:
(1) The the applicant furnishes to the Board a written
statement from his the state licensing board certifying
that he the applicant holds a current electrical
contracting license issued by that board;
(2) The the proposed qualified individual for the
applicant is the same individual who is duly qualified
for the license currently issued to the applicant by his
the state licensing board;
(3) The the applicant files an application on a form
provided by the Board requesting a license under the
formal licensing reciprocity agreement currently in
effect between the Board and the applicant's state
licensing board;
(4) Except except for the written examination
requirement, the applicant furnished furnishes to the
Board information satisfactorily verifying to the
Board that he meets all of the requirements in
Sections .0200, .0300 and .0400 of this Subchapter
applicable to the specific license classification
requested; and
(5) The the applicant furnishes pays to the Board his a
check or money order for the annual license fee as
required in Rule .0404 of this Subchapter for the
specific license classification requested.
(b) The expiration date for each license issued under a formal
reciprocal agreement shall be as prescribed in G.S. 87-44.
(c) The renewal application due date and late filing penalfy
for a license issued under a formal reciprocal agreement shall be
as prescribed in Rule .0405 of this Subchapter.
fd) Exact copies of all formal reciprocal agreements entered
into by the Board shall be filed with the North Carolina
Secretary of State and the North Carolina Attorney General.
Authority G.S. 8^-42: 8'' -50.
.0702 RECIPROCITY: SOUTH CAROLINA
Pursuant to the provisions of Rule .0701 of this Section and
the formal resolution reciprocal agreement between the Board
and the South Carolina Licensing Board for Contractors,
licensees of the South Carolina Board, who are non residents of
North Carolina, board are eligible to apply for and obtain a
North Carolina electrical contracting license license, and North
Carolina licensees, who are non residents of South Carolina.
licensees are eligible to apply to the South Carolina board and
obtain a South Carolina electrical contracting license in
classifications as prescribed in the following table:
SOUTH CAROLINA LICENSEE
Limited
Intermediate
Unlimited
ELIGIBLE FOR NORTH CAROLINA LICENSE
Limited or intermediate
Limited, intermediate or unlimited
Limited, intermediate or unlimited
508
NORTH CAROLINA REGISTER
September 1, 1998
13:5
PROPOSED RULES
NORTH CAROLINA LICENSEE
Intermediate
Unlimited
ELIGIBLE FOR SOUTH CAROLINA LICENSE
Limited or intermediate
Limited, intermediate or unlimited
Authority G.S. 87-42: 87-50.
.0703 RECIPROCITY: VIRGINIA
Pursuant to the provisions of Rule .070 1 of this Section and the formal resolution reciprocal agreement between the Board and the
Virginia Board for Contractors, licensees of the Virginia Board, who are non residents of North Carolina, board are eligible to apply
for and obtain a North Carolina electrical contracting license; license, and North Carolina licensees, who are non residents of Virginia.
licensees are eligible to apply to the Virginia Board board and obtain a Virginia electrical contracting license in classifications as
prescribed in the following table:
VIRGINIA LICENSEE
Class B
Class A
ELIGIBLE FOR NORTH CAROLINA LICENSE
Limited or intermediate
Limited, intermediate or unlimited
NORTH CAROLINA LICENSEE
Intermediate
Unlimited
ELIGIBLE FOR VIRGINIA LICENSE
Class A or Class B
Class A or Class B
Authority^ G.S. 87-42: 87-50.
.0704 RECIPROCITY: ALABAMA
Pursuant to the provisions of Rule .0701 of this Section and the formal resolution reciprocal agreement between the Board and the
Alabama Electrical Contractors Licensing Board, licensees of the Alabama board, who are non residents of North Carolina, board
are eligible to apply for and obtain a North Carolina electrical contracting license license, and North Carolina licensees, who are non
residents of Alabama, licensees are eligible to apply to the Alabama Board board and obtain a an Alabama electrical contracting
license in classifications as prescribed in the following table:
ALABAMA LICENSEE
Unrestricted
ELIGIBLE FOR NORTH CAROLINA LICENSE
Unlimited
NORTH CAROLINA LICENSEE
Unlimited
ELIGIBLE FOR ALABAMA LICENSE
Unrestricted
Authority- G.S. 8' -42: 87-50.
.0706 RECIPROCITY: FLORIDA
Pursuant to the provisions of Rule .0701 of this Section and the reciprocal agreement between the Board and the Florida Electrical
Contractors Licensing Board, licensees of the Florida board are eligible to apply for and obtain a North Carolina electrical contracting
license, and North Carolina licensees are eligible to apply to the Florida board and obtain a Florida electrical contracting license in
classifications as prescribed in the following table:
FLORIDA LICENSEE
Unlimited
ELIGIBLE FOR NORTH CAROLINA LICENSE
Unlimited
NORTH CAROLINA LICENSEE
Unlimited
ELIGIBLE FOR FLORIDA LICENSE
Unlimited
Author it^' G.S. 87-42: 87-50.
SECTION .1000 - DESCRIPTION OF FORMS,
CERTIFICATES AND PUBLICATIONS
.1001 FORMS PROVIDED BY THE BOARD
{et) — Examination Applications. — An application form is
provided to a person wishing to apply to take a qualifying
examination for an electrical contracting license. The form is
designed for an applicant to furnish the following information:
( I \ dcAe'
(3) name, address and telephone number;
\jf age,
(-+) social security number;
13:5
NORTH CAROLINA REGISTER
September 1, 1998
509
saa
PROPOSED RULES
whether or not applicant has taken a qualifying
examination previouGlv:
ciassitlcation of license for which applicant vs ishes to
qualify and amount of application examination fee;
educational background:
experience background:
character references:
criminal convictions:
other references or information applicant wishes the
Board to consider:
authorization for board to research all information
submitted on or in support of applicant: and
signature of applicant.
m
{]0\
{^
(#) Examination Review Applications. Each failing examinee
is pros ided a form for his use in appK ing for a detailed review
of his failed examination. — This form is designed for the
applicant to furnish the following information:
/ 1 \ Hntf
\ I J UULC
(3) name, address and telephone number;
(5^ social security number:
f4-) date he took his failed examination:
(4) location in which he took his failed examination:
(#) examination re\ iex*. fee: and
f74 signature of applicant,
(c) License Applicants. Each license applicant is pro\idod
with an application form for his use in initialK appKing for a
license. The form is designed for the applicant to furnish the
following information:
(3)
(44
(*4
f++4
classification of license for which he is applying:
name in which he w ishes the license to be issued:
business mailing and location address:
business and home telephone numbers:
\s hether business is partnership, corporation or limited
liability compan\ and. if so. the names of the partners,
the names and titles of officers of the corporation or
names of the members of the limited — liabilit>
55 is to be operated part time or full
companv:
v'.hether bus
wes
time:
names, signatures and social security numbers of the
listed qualified individuals to be indicated on the
license:
annual license fee:
criminal convictions:
authorization for board to research all information
submitted on or in support of application;
date: and
signature and title of applicant,
(d) License Renewal Applications. Each licensee is provided
\s ith an annual license renewal application form prior to the
expiration of his current annual license. This form is designed
for the licensee to furnish the follow ing information:
f4-) name in which his license is currentlv' issued:
(24 xvhether license is to be renewed in same name or. if
not. ne\s name in sshich he wishes license to be
renevsed:
(3^ mailing and business location address:
f44 business and home telephone numbers:
f§4 \'>hether business is to be operated part time or full-
time:
f64 whether business is partnership, corporation or limited
liabilit> company and. if so. the names of the partners,
the names and titles of officers of the corporation or
names of the members of the limited liabilit\'
companv:
f?4 names, signatures and social security,' numbers of the
listed qualified individuals to bo indicated on new
annual license:
{^ annual license fee;
{9^ authorization for board to research all information
submitted on or in support of application:
f+e4 date: and
f444 signature and title of applicant.
fe4 — Request for Change of Name or Address in Which
License Is Issued. A licensee wishing to change his license name
or address is furnished a form for his use in requesting a change
of name or address. This form is designed for the licensee to
furnish the following information:
fH name and address in which license is currentK' issued:
(34 name and address in which license is to be reissued:
(54 whether business is to be operated part time or full
time:
(-H whether business is parmership. corporation or limited
liabilitv companv and. if so. the names of the partners.
the names and titles of officers of the corporation or
names of the members of the limited liability
compan\:
(§4 certification of listed qualified individual b> name and
conditions of emplo\Tnent:
(§4 name and title of person filing request and date of
request: and
f74 signature of listed qualified individual.
(f) License Applications: South Carolina R-eciprocit). These
forms are designed for an applicant to furnish the same tvpe of
information as is provided on the forms described in Paragraphs
(c) and (d) of this Rule, with the following addifional
information:
(+4 name in which applicant's curtent South Carolina
license is issued:
(34 classification of applicant's South Carolina license:
(^ number of current South Carolina license:
(44 statement from South Carolina Licensing Board for
Contractors — cenifiing — the — individuals — whe — are
qualified under the applicant's South Carolina license
and the extent of each indiv idual's qualifications: and
{&j names, signatures and social security numbers of the
listed qualified individuals on South Carolina license
and to be indicated as such on North Carolina licenser
(g) License Application: Alabama Reciprocity. These forms
are designed for the applicant to furnish essentialK the same
t>pe of information as is provided on the forms described in
Paragraphs (c). (d) and (f) of this Rule.
(h) License Application: Virginia Reciprocity-. Those forms
are designed for the applicant to furnish essentialK the same
t>pe of information as is prov ided on the forms described in
510
\ORTH CAROLINA REGISTER
September 1, 1998
13:5
PROPOSED RULES
Paragraphs (c). (d) and (f) of this Rule.
(i) Bonding Abiht> Statomont. A bonding abiliW statement
form is provided to an apphcant wishing to obtain a hcense in
either the intermediate or unhmited classification. This form is
to be completed by a bonding company duly licensed to issue Authority^ G.S. 87
performance bonds in North Carolina. The form is designed for 87-44.
the bonding company to state its bonding experience with the
applicant and amount of performance bond the bonding .1003
electrical contracting license, and, when duly licensed by the
Board, is entitled to engage or offer to engage in the business of
electrical contracting in the State of North Carolina.
■39: 87-42: 87-43: 87-43. 1: 87-43.3: 87-43.4:
company would be willing to issue to the applicant on the date
the form is completed and signed. The signer's power of attorney
must accompany the bonding ability statement form.
(j) Certification of Listed Qualified Individual. This form is
provided to any licensee or applicant for a license whose listed
qualified individual is someone other than the licensee or
applicant for a license. This form is designed for the licensee or
applicant for a license to certify' who will be the listed qualified
individual for the licensee and that the listed qualified individual
is. or will be. regularly employed by the licensee and has. or will
have, the specific duty and authority to supervise and direct all
electrical installation, maintenance, alteration or repair of any
electric wiring, devices, appliances or equipment done in the
name of the licensee.
(k) Affidavit certifying Bona Fide Employee. This affidavit
form is provided to any licensee whose relationship with his Statutory Authority G.S. 87-42.
employees has been challenged and it is alleged that someone
PUBLICATIONS AVAILABLE FROM THE
BOARD
The following publications are available from the Board:
(44 Laws applicable to electrical contracting in the State
of North Carolina;
(3) Rules of the Board, including rules of general
applicability and rules applicable to special restricted
classifications;
(5^ Information booklet for persons applying to take the
qualifying examination for an electrical contracting
license in each license classification;
(4) Annual Continuing Education Information Booklet;
(^ The National Electrical Code. NFPA 70. at the current
price.
other than his bona fide employee is engaged in electrical work
under the auspices of his license. The form must contain the
signature and title of the person completing the form and must
be notarized. The form is designed for the licensee to furnish
information establishing compliance with the requirements of
Rule .0306(a)(2) and (3) of this Subchapter.
Authority G.S. 87-42: J50B-II.
.1002 CERTIFICATES
(a) Annual License Certificate. The Board issues an annual
license certificate to each eligible licensee. This certificate
contains the following information:
f+4 fiscal year for which license is issued;
(3) classification of license issued;
0) name in which license is issued;
(4) names of all listed qualified individuals;
{&j date license is issued; and
(6) signature of chairman and secretary treasurer of the
Board;
(b) Permanent Pocket Card. The Board issues a permanent
pocket identification card is issued to each person who has taken
and passed the qualify'ing examination for a license. This card
contains the following information:
fB the name of examinee;
(3) classification of examination passed;
(34 place of examinee's signature.
(e) — Permanent Certificate. The Board issues a permanent
certificate to each person who has taken and passed a qualifying
examination for an electrical contracting license in either the
limited, intermediate, or unlimited license classification. This
certificate is not a license. — It certifies that the person named
thereon has met the technical qualification requirements for an
.1004 OTHER PUBLICATIONS
Other publications of interest may be obtained as follows:
(44 North Carolina State Building Code:
Volume I;
Volume II;
Volume III;
Volume IV Electrical
N.C. Department of Insurance
Post Office Box 26387
Raleigh. N.C. 27611
{¥> Statutes and rules applicable to — State revenue
privilege and bidders license:
N.C. Department of Revenue
Post Office Box 25000
Raleigh. N.C. 27640
(34 Statutes and rules applicable to installing, servicing or
responding to electrical burglar alarm systems, etc..
Private Protective Services Act. G.S. Chapter 7'1C:
Private Protective Services Board
Post Office Box 29500
Raleigh. N. C. 27626
(44 The National Electrical Code Handbook:
National Fire Protection Association
BattePi'march Park
Quincy. Mass. 02269
(^ North Carolina Construction Manual. Outlining
policies for the planning, designing, construction
and renovation of buildings, structures and other
capital improvements:
Division of State Construction
Department of Administration
300 North Salisbury Street
Raleigh. N.C. 27611
13:5
NORTH CAROLINA REGISTER
September 1, 1998
511
PROPOSED RULES
Aiithorin- G.S. H'-42
SECTION .1100 - CONTINUING EDUCATION
ill
.1101 CONTINUING EDUCATION
REQUIREMENTS: LISTED QUALIFIED
INDIVIDUALS
(a) Effective July 1. 1991. ever>' Every listed qualified
individual, including listed qualified individuals pursuant to G.S.
87-50. shall complete six contact hours of approved continuing
education for each license period (July 1 - June 30) to renew the
license on which he the qualified individual is currently listed.
for the next license period, except as follov\ s:
(1) Individuals individuals becoming qualified by
examination during the 12 month period immediately
preceding the license renewal date;
(2) Qualified qualified individuals unable to fulfill the
required number of hours as the result of illness er
undue hardship as certified in writing by the attending
physician physician: or other responsible person and
the — waiver — of this — requirement — as — specifically
approved by the Board; or
(3) Approved approved instructors actually presenting
courses in accordance with this Section.
(b) The number of required contact hours for every listed
qualified individual shall be determined b\' the classification of
license on which the qualified individual is currently listed as
follows;
qualified individuals currently listed on a license in
the limited, intermediate, unlimited and special
restricted single family dwelling classifications shall
complete at least eight hours of approved continuing
education for license renewal, and
qualified individuals currently listed on a license in
the special restricted lovy voltage (SP-LV). special
restricted elevator (SP-EL). special restricted
plumbing and heating (SP-PH>. special restricted
ground vsater pump (SP-WP). special restricted
electric sign (SP-ES) and special restricted swimming
pool (SP-SP) classifications shall complete at least
four hours of approved continuing education for
license renewal.
(^ (c} The Beard Board, pursuant to Rules .1102 and .1103
of the Section, approves course sponsors and instructors, not
particular courses, except as provided in Paragraph fe) (jQ of this
Rule. A course provided by an approved sponsor is presumed
to moot the requirements as set forth in these Rules. Because of
differences in the electrical contracting industry and individual
needs of listed qualified individuals, each qualified individual
must exercise judgment in selecting courses for which
continuing education is claimed and in choosing only those
courses that will advance h+s the individual's knowledge.
fe-) (dj Course sponsors may' be. but are not limited to. colleges
or univ ersities. community colleges, trade associations, providers
of self-study programs, employers, third party professional
examination companies, private instructors and the like.
(4) (_ej North Carolina listed qualified individuals residing
ill
within the state must obtain the required continuing education
hours b) taking a course provided by an approved sponsor.
(^ (f} North Carolina listed qualified individuals residing
outside of North Carolina, including listed qualified individuals A
pursuant to G.S. 87-50. may obtain credit for courses offered in ^
North Carolina. They may also obtain credit for courses offered
in their state, province or country of residence and provided by
non-approved sponsors or instructors provided the Board
subsequently approves the courses talcen. taken, pursuant to Rule
.1102(b) of this Section.
Authority G.S. 8" -42: 87-44.1.
.1102 MINIMUM REQUIREMENTS FOR COURSE
SPONSOR APPROVAL
(a) Each course sponsor shall submit an application for
continuing education course sponsor approval to the Board on a
form provided by the Board by March 1 of the year prior to the
license period (July 1 - June 30) in which the course will be
offered. The application shall include but is not limited to:
The tlie name of the sponsor:
Sponsor sponsor contact person, address and
telephone number:
Course course title and outline;
Course course contact hours:
Schedule schedule of courses.
(1)
(2)
(3)
(4)
(5)
if established.
including dates, time and locations:
Course course fee: and
(6)
(7) Name(s) name(s) of instructor(s).
(b) To qualify as an approved continuing education course
sponsor:
( 1 ) The course all courses offered bv the sponsor shall
last six or more contact hours: no feyver than the
minimum number of contact hours required for the
license classification pursuant to Rule .1101(b) of this
Section; and
(2) The course all courses offered bv the sponsor shall
cover articles of the current National Electrical Code:
G.S. 87. Article 4; Title 21 North Carolina
Administrative Code Chapter 18B: or other subject
matter satisfying the requirements in G.S. 87-44. 1 as
approved by the Board.
(c) The course offered shall be presented by one or more
instructors approved by the Board.
(d) The course sponsor or instructor shall provide the Board
with a certified class roster of all attending qualified individuals
within 30 days after the completion of each course.
(e) The course sponsor or instructor shall provide each
attending qualified individual with a certificate of completion
within 30 days after completion of each course.
(f) The Board shall approve or deny applications at its April
meeting.
(g) Appeals from denials shall be heard by the Board at a
scheduled meeting in May.
^^ tgj Upon approval of the application, each approved
sponsor shall agree to conduct courses in accordance with this
Section and shall indicate its agreement b\ signing a continuing
education sponsor agreement form provided by the Board.
512
NORTH CAROLINA REGISTER
September 1, 1998
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PROPOSED RULES
Authority G.S. 87-42: 87-44. 1.
.1104 CONTACT HOURS
(a) Approved courses must be offered for six or more contact
hours, no fewer than the minimum number of contact hours
required for the license classification pursuant to Rule . 1 1 0 Kb)
of this Section. Credit wtH shall be given only in multiples of
SHt eight contact hours (6, 12, 18). (8^ JA 24} for the limited,
intermediate, unlimited and special restricted single family
dwelling classifications and multiples of four contact hours (4,
8, 12} for the special restricted low voltage (SP-LV), special
restricted elevator (SP-EL), special restricted plumbing and
heating (SP-PH), special restricted ground water pump (SP-WP).
special restricted electric sign (SP-ES) and special restricted
swimming pool (SP-SP) classifications.
(b) Credit shall be granted to the qualified individual only
upon completion of an entire course.
(c) When a qualified individual has completed more than the
required number of hours of continuing education in any one
license period, the extra hours may shall be carried forward in
multiples of six as specified in Paragraph (a) of thjs Rule and
treated as hours earned in the following one or two additional
license periods.
(d) No credit wiU shall be granted for courses attended prior
to July 1, 1991.
(e) No credit wiH shall be granted for courses attended prior
to being qualified by examination.
Authority G.S. 87-42: 87-44.1.
.1105 COMPUTATION OF CONTINUING
EDUCATION HOURS
(a) Group Courses: Non-college. Continuing education
credit for a group coiirse that is not part of a college curriculum
is given based on contact hours. A contact hour is 50 minutes of
instruction. Credit is granted only for full contact hours. For
example, a group course lasting 300 minutes is six contact hours
and thus satisfies one year of the continuing education
requirement.
(b) College Courses. Continuing education credit for a
college course in the college curriculum is given based on
college credit hours. One semester hour of college credit is 15
contact hours; one quarter hour of college credit is 1 1 contact
hours; and one continuing education unit (CEU) is ten K) contact
hours.
(c) Self-Study Courses. Continuing education credit for a
self-study course is given based on the average number of
contact hours needed to complete the course. The course shall
include a written examination having a minimum of 25 questions
and a minimum passing grade of 70. One half of the average
completion time is allowed for continuing education credit. A
sponsor must determine the average number of contact hours it
takes to complete the self-study course and submit this
information with its application for continuing education course
sponsor approval.
(d) Examination. Continuing education credit for an
examination is given based on the type of examination,
maximum number of questions, maximum number of hours
permitted to take the examination, and minimum passing grade.
The examination shall include a minimum of 25 questions and
a minimum passing grade of 70. A sponsor must determine set
the number of hours permitted to take the examination and
submit this information with its application for continuing
education course sponsor approval.
(e) Totaling Annual Hours. No credit shall be allowed for a
course having a total of fewer than six contact hours, fewer than
the minimum number of contact hours required for the license
classification pursuant to Rule .1101(b) of thjs Section. A
eetiFse Courses held for license classifications pursuant to Rule
.IIOUb)(l) ofthis Section and lasting between from six and 1 1
eight to 15 contact hours wi44 shall satisfy one year of the
required continuing education; a course lasting between fi"om 43-
4^ 16 to 23 contact hours will shall satisfy two years of the
required continuing education; and a course lasting 4-8 24 or
more contact hours vAU shall satisfy three years of the required
continuing education. Courses held for license classifications
pursuant to Rule .1101(b)(2) ofthis Section and lasting from
four to seven contact hours shall satisfy one year of the required
continuing education; a course lasting from eight to 1 1 contact
hours shall satisfy two years of the required continuing
education; and a course lasting 12 or more contact hours shall
satisfy three years of the required continuing education. Credit
hours for more than one year are subject to the provisions of
Rule .1 104(c) ofthis Section.
Authority G.S. 87-42: 87-44.1.
CHAPTER 57 - REAL ESTATE
APPRAISAL BOARD
Notice is hereby given in accordance with G.S. 150B-21.2
that the North Carolina Appraisal Board intends to
amend the ruleS cited as 21 NCAC 57A .0101-.0102. .0201-
.0208. .0210. .0301-.0306. .0401-.0407. .0501. Notice of Rule-
making Proceedings was published in the Register on July 1.
1998.
Proposed Effective Date: .April 1. 1999
A Public Hearing will be conducted at 9:00 a.m. on September
30. 1998 at 3900 Barrett Drive. Raleigh. NC.
Reason for Proposed Action: G.S. 93E-1. the North Carolina
Appraiser Act. was amended in 1995 to add the categoiy of
registered trainee to those licensed by the Appraisal Board, but
the rules were not amended to reflect that change. In addition,
there has been a change in requirements in both the
qualifications for the four categories of licensees as well as the
number of hours of continuing education required annually by
the Appraiser Qualifications Board of the Appraisal Foundation
in Washington DC. and there is a need for the Board to come
into compliance with those requirements (Title XI of the U.S.
Code. 12 U.S.C. 335 et seq).
13:5
NORTH CAROLINA REGISTER
September 1, 1998
513
PROPOSED RILES
Comment Procedures: Wriiien comments siiuuld be addressed
to A^ Mellon Black. Jr.. Executive Director \orth Carolina
Appraisal Board. PO Box 20500. Raleigh. \C 2~ 6 19-0500.
Fiscal Note: These Rules do not affect the expenditures or
revenves of state or local government funds. These Rules do not
have a substantial economic impact of at least five million
dollars (S5. 000.000) in a 1 2-month period.
SUBCHAPTER 57A - LICENSING. CERTIFICATION
AND PRACTICE
SECTION .0100 - APPLICATION FOR REAL ESTATE
APPRAISER LICENSE OR CERTIFICATE
.0101 FORM
A person who wishes to file an appHcation for a real estate
trainee registration, appraiser license or certificate ma\ obtain
the required form upon request to the Board. In general, the
form calls for information such as the applicant's name and
address, the applicant's social securit\ number, a recent passport
size photograph of the applicant, places of residence and
empioNTnent. education, and such other information as may be
necessan. to identify the applicant and determine his
qualifications and fitness for registration, licensure or
certification.
Authority- G.S. 93E-!-6(a/: 93E-1-10.
.0102 FILING AND FEES
(a) Each application for registration, licensure or fef
certification must be filed in the proper form and must be
accompanied bs the required application fee plus such additional
fee as the Board ma\ from time to time establish to defra\ the
cost of an> competenc\ examination administered b\ a pri\ate
testing ser\ ice. The Board ma\ reject and return to the applicant
an\ application which is incomplete, not in proper form, or not
accompanied b\ the required fee or fees. Application fees
accompan) ing complete applications submitted in proper form
are not refundable.
(b) The following fees shall be charged:
( 1 ) application for original trainee
registration S150.00:
f44(2j application for original residential appraiser
license S150.00;
fj-K3) application for original residential appraiser
certificate SI 50.00:
fj-H4) application for original general appraiser
certificate SI 50.00:
(c) Pa\ment of application fees shall be made h\ certified
check, bank check or mone\ order pa\able to the North Carolina
Appraisal Board.
Authority G.S. 93E-1-6: 93E-1-10.
SECTION .0200 - APPRAISER LICENSING AND
CERTIFICATION
.0201 QLALIFICATIONS FOR TRAINEE
REGISTRATION, APPRAISER LICENSURE
AND CERTIFICATION
(a) Applicants for trainee registration, licensure as a state-
licensed residential real estate appraiser and for certification as
a state-certified real estate appraiser must satisfy the
qualification requirements stated in G.S. 93E-1-6 as further set
forth in Subparagraphs (a)( 1 ). f5^ 2^an^ (3) and(4j of this Rule,
provided however that registration as a trainee or licensure as a
state-licensed residential real estate appraiser is not prerequisite
for certification as a state-certified residential or general real
estate appraiser:
(1) Applicants for trainee registration shall have
completed, within the fi\e-\ear period immediateh
preceding the date application is made, courses in
introduction to Real Estate Appraisal. Valuation
Principles and Practices, and Applied Residential
Property Valuation each consisting of at least 30
classroom hours of instruction, or appraisal education
found b\ the Board to be equi\ alent to such courses.
fj4(2) Applicants for licensure as a state-licensed residential
real estate appraiser shall ha\e completed, within the
five-year period immediateh preceding the date
application is made, courses in introduction to Real
Estate Appraisal. Valuation Principles and Practices,
and Applied Residential Property Valuation each
consisting of at least 30 classroom hours of
instruction, or appraisal education found b> the Board
to be equivalent to such courses: and ha\e at least
2.000 hours of appraisal experience.
fJ-H3) Applicants for certification as a state-certified
residential real estate appraiser, within the fi\e-\ear
period immediateh preceding the date application is
made, shall ha\e completed those courses required for
licensure as a state-licensed residential real estate
appraiser or equi\alent education and. in addition, a
course in introduction to Income Property Appraisal
consisting of at least 30 classroom hours of
instruction or equi\alent education: and shall ha\e
obtained at least 2.500 2000 hours of appraisal
experience acquired ov er a minimum period of nvo
calendar > ears.
f34(4) Applicants for certification as a state-certified general
real estate appraiser, within the fi\e-year period
immediateh preceding the date application is made,
shall ha\e completed those courses required for
certification as a state-certified residential real estate
appraiser or equivalent education and. in addition,
courses in Advanced Income Capitalization
Procedures and .Applied Income Property Valuation
each consisting of at least 30 classroom hours of
instruction or equivalent education: and shall have
obtained at least 3.000 2.000 hours of appraisal
experience acquired over a minimum period of X\\o
and a half calendar years of which at least 50 percent
must ha\e been in appraising non-residential real
estate.
(b) When a trainee becomes a state-licensed or state-certified
514
\ORTH C.4R0LI.\A REGISTER
September 1, J 998
13:5
PROPOSED RULES
real estate appraiser or when a state-licensed real estate appraiser
becomes certified as a state-certified real estate appraiser, his
licensure shall be immediateh' canceled by the Board. When a
■ state-certified residential real estate appraiser becomes certified
as a state-certified general real estate appraiser, his certification
as a state-certified residential real estate appraiser shall be
immediately canceled by the Board.
Authorin'G.S. 93E-1-6: 93E-1-10.
.0202 CHARACTER
(a) At a meeting of the Appraisal Board following each real
estate trainee, appraiser licensing or certification examination,
the applicants who have passed the examination shall be
considered for licensure or certification. When the moral
character of an applicant is in question, action by the Board will
be deferred until the applicant has affirmatively demonstrated
that he possesses the requisite truthfulness, honesty and
integrity.
(b) When the moral character of an applicant is in question,
the Board shall notify the applicant and the applicant shall be
entitled to demonstrate his character and fitness for licensure or
certification at a hearing before the Board.
(c) Notice to the applicant that his moral character is in
question shall be in \NTiting. sent by certified mail, return receipt
requested, to the address shown upon the application. The
applicant shall have 60 days from the date of receipt of this
notice to request a hearing before the Board. Failure to request
a hearing within this time shall constitute a waiver of the
applicant's right to a hearing on his application for trainee
registration, licensing or certification, and the application shall
be deemed denied. Nothing in this Rule shall be interpreted to
prevent an applicant from reapplying for licensure or
certification.
»
♦
Authority G.S. 93E-1-10.
.0203 LICENSE AND CERTIFICATE RENEWAL
(a) A holder of a trainee registration, an appraiser license or
certificate desiring the renewal of such registration, license or
certificate shall, during the month of June, apply for same in
writing upon the form approved by the Board and shall forward
the required fee of two-hundred dollars (S200.00). Forms are
available upon request to the Board.
(b) All trainees, licensees and certificate holders either active
or inactive, resident or non-resident who are required by G.S.
93 E- 1-7 to complete continuing education as a condition of
renewal, shall be required to satisfy the continuing education
requirements set forth in Rule .0204 of this Section.
(c) An applicant applying for renewal of a registration.
license or certificate obtained by reciprocity must submit with
the renewal application a current license history from the
appraiser regulatory authority of the state upon whose
qualification requirements the reciprocal registration, license or
certificate was granted showing that the applicant is currently
registered, licensed or certified in good standing. Submission of
false or misleading information to the Board in connection with
registration, license or certificate renewal shall constitute
grounds for disciplinary action.
(d) Any person who acts or holds himself out as a state-
registered trainee, state-licensed or state-certified real estate
appraiser while his trainee registration, appraiser license or
certificate is expired will be subject to disciplinary action and
penalties as prescribed in G.S. Chapter 93E.
Authorit}- G.S. 93E-l-7(a)(b); 93E-I-10.
.0204 CONTINUING EDUCATION
(a) All real estate appraiser licensees and certificate holders
shall, upon the second renewal of their license or certificate
following their initial licensure or certification by the Board, and
upon each subsequent renewal, present evidence satisfactory to
the Board of having obtained, within the immediately preceding
licensing/certification period (July 1 - June 30) education
consisting of at least 14 tee classroom hours of instruction.
Additional hours of approved instruction may be carried forward
and recognized for purposes of meeting the continuing education
requirement only as provided in Paragraph (c) of this Rule.
Except as provided in Paragraphs (f) and (g) of this Rule, such
education must have been obtained by taking courses approved
by the Board for continuing education purposes. Such education
must relate to real estate appraisal and must contribute to the
goal of improving the knowledge, skill and competence of state-
licensed and state-certified real estate appraisers. There is no
exemption from the continuing education requirement for
appraisers whose licensed or certified status has been upgraded
to the level of certified residential or certified general appraiser
since the issuance or most recent renewal of their license or
certificate, and courses taken to satisfy the requirements of a
higher level of certification may not be applied toward the
annual continuing education requirement.
(b) Each appraisal continuing education course must involve
a minimum of three and one-half classroom hours of instruction
on real estate appraisal or related topics such as the application
of appraisal concepts and methodology to the appraisal of
various types of property; specialized appraisal techniques; laws,
rules or guidelines relating to appraisal; standards of practice and
ethics; building construction; financial or investment analysis;
land use planning or controls; feasibility analysis; statistics;
accounting; and similar topics. The license or certificate holder
must have attended at least 90 percent of the scheduled
classroom hours for the course in order to receive credit for the
course.
(c) A licensee who elects to take approved continuing
education courses in excess of the minimum requirement of 14
ten hours per year may carry over into subsequent years a
maximum of 28 30 hours of continuing education credit. Credit
for extra hours of approved continuing education may not be
carried forward more than two years, and no credit may be
applied retroactively.
(d) Course sponsors must provide a prescribed certificate of
course completion to each licensee and certificate holder
satisfactorily completing a course. The licensee or certificate
holder should submit the original of this certificate to the Board
as soon as possible after completing the course and must submit
such certificate not later than the next June 30 following course
13:5
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September L 1998
515
PROPOSED RULES
completion. In order to renew a license or certificate in a timeK
manner, the Board must have received from the licensee or
certificate holder proper proof of his having fully satisfied the
continuing education requirement prior to processing his license
or certificate renewal application. If a licensee or certificate
holder fails to provide by June 30 of any year proper proof of
having fully satisfied the continuing education requirement, his
license or certificate will expire as of that date and he will be
subject to the provisions of Rules .0203(d) and .0206 of this
Section.
(e) A course ma\ be taken only once for continuing education
credit within a three-year period.
(f) A current or former licensee or certificate holder may
request that the Board grant continuing education credit for a
course taken by the licensee or certificate holder that is not
approved by the Board, or for appraisal education activity
equivalent to a Board-approved course, by making such request
on a form prescribed by the Board and submitting a non-
refundable fee of fifty dollars ($50.00) for each course or type
of appraisal education activity to be evaluated. Continuing
education credit for a non-approved course will be granted only
if the licensee or certificate holder provides satisfactory proof of
course completion and the Board finds that the course satisfies
the requirements for approval of appraisal continuing education
courses with regard to subject matter, course length, instructor
qualifications, and student attendance. Appraisal education
activities for which credit may be awarded include, but are not
limited to. teaching appraisal courses, authorship of appraisal
textbooks, and development of instructional materials on
appraisal subjects. The awarding of credit for such activities is
wholK discretionary on the part of the Board. Licensed or
certified appraisers who between JuK I and June 30 of the
period for which continuing education credit is requested have
taught an appraisal course or courses approved by the Board for
continuing education credit will be deemed to have taken an
equivalent course and will not be subject to the fifty dollars
(S50.00) fee. provided the> submit verification satisfactory to the
Board of having taught the course(s). A licensee or certificate
holder who teaches a Board-approved continuing education
course may not receive continuing education credit for the same
course more than once every three >ears. regardless of how often
he teaches the course.
(g) A state-licensed or state-certified residential real estate
appraiser may fully satisfy' the continuing education requirement
by taking the Applied Residential Property Valuation (R3) pre-
licensing and precertiflcation course, provided that he has not
taken such course within the previous three \ears. A state
certified general real estate appraiser ma\ fulK satisfy the
continuing education requirement b> taking either the Applied
Residential Valuation (R-3) pre-licensing and pre-certification
course or the Applied Income Property Valuation (G-3) pre-
certification course, provided that he has not taken either of
these courses within the previous three \ears.
(h) A licensee or certificate holder may request in writing and
be granted an extension of time to satisfS the continuing
education requirements if he provides evidence satisfacton to
the Board that he was unable to obtain the necessary education
due to an incapacitating illness, military assignment outside the
50 states, or similar condition. If an extension of time is granted,
the licensee or certificate holder will be permitted to renew or
reinstate, as appropriate, his license or certificate for that period
of time for which the extension was granted. The granting of
such request and the length of any extension of time granted are
wholly discretionary on the part of the Board.
Authority G.S. 93E-I-''(al(bl: 93E-!-8(aj: 93E-1-10.
.0205 INACTIVE STATUS
(a) A trainee, licensee or certificate holder shall be assigned
by the Board to inactive status upon written request to the Board.
(b) A trainee, licensee or certificate holder whose registration.
appraiser license or certificate is on inactive status shall be
returned to active status upon making a written request to the
Board.
(c) A trainee, licensee or certificate holder on inacfive status
shall not be entitled to act as a state-registered trainee, state-
licensed or state-certified real estate appraiser; however, in order
to continue to hold a trainee registration, an appraiser license or
certificate, the trainee, licensee or certificate holder whose
registration, license or certificate is on inactive status must
renew his registration, license or certificate, including payment
of the prescribed renewal fee and completion of all continuing
education.
(d) The Board may take disciplinary action against a trainee.
licensee or certificate holder on inactive status.
Authorities. 93E-1-'': 93E-1-10.
.0206 EXPIRED REGISTRATION, LICENSE OR
CERTIFICATE
(a) Expired real estate appraiser trainee registrations, licenses
and certificates may be reinstated within 12 months after
expiration upon proper application, payment to the Board of the
two-hundred dollar (S200.00) renewal fee plus a late filing fee
of five dollars ($5.00) per month for each month or part thereof
that such registration, license or certificate is lapsed, and
provision of proof of having obtained the continuing education
that would have been required had the license or certificate been
continuoush' renewed.
(b) Trainee registrations. Licenses licenses and certificates
expired for more that 12 months may be considered for
reinstatement upon proper application, payment of the one-
hundred fifty dollar (SI 50.00) original license or certificate fee.
payment of the sixty dollar ($60.00) late filing fee. and provision
of proof of having obtained continuing education equal to the
total number of classroom hours that would have been required
had the license or certificate been continuously renewed. Such
applications will be reviews by the Board to determine whether
an examination or additional real estate appraisal education or
both will be required.
Authority- G.S. 93E-l-6lh): 93E-1--: 93E-1-W.
.0207 PAYMENT OF LICENSE OR CERTIFICATE
FEES
Checks given the Board in payment of real estate appraiser
516
NORTH CAROLINA REGISTER
September 1, 1998
13:5
PROPOSED RULES
I
trainee registration, license and certificate fees which are
returned unpaid shall be cause for registration, license or
certificate denial, suspension or revocation.
«
»
Authohn- G.S. 93E-1-10: 93 E-1 -12(a)(9).
LICENSE
AND
.0208 REPLACEMENT
CERTIFICATE FEES
A trainee, licensee or certificate holder may. filing a
prescribed form and paying a five dollar ($5.00) fee to the
Board, obtain a duplicate real estate trainee registration.
appraiser license or certificate or pocket card to replace an
original registration, license, certificate or pocket card which has
been lost, damaged or destroyed or if the name of the trainee.
licensee or certificate holder has been lawfully changed. The
Board, at its discretion, may require a trainee, licensee or
certificate holder requesting a duplicate registration, license or
certificate to submit an affidavit stating the reason for the
request.
Authority- G.S. 93E-!-7(d): 93E-1-10.
.0210 TEMPORARY PRACTICE
(a) A real estate appraiser from another state who is licensed
or certified by the appraiser licensing or certifying agency in
such state may apply for registration to receive temporary
appraiser licensing or certification privileges in this State by
filing with the Board a notarized application on a form
prescribed by the Board for such purpose which shall set forth
and include:
( 1 ) the applicant's name, address, social security number
and such other information as may be necessary to
identify' the applicant:
(2) an original statement by the appraiser licensing or
certifying agenc\' in the applicant's resident state
issued under seal no more than thirty days prior to the
application date setting forth:
(A) the applicant's name, business name and
address:
(B) the type license or certificate held by the
applicant and the license or certificate number:
(C) the dates of licensure or certification and the
expiration date of the applicant's current
license or certificate:
(D) whether or not the license or certificate was
issued as a result of passing a
license/certification examination. by
reciprocity, or by some other means: and
(E) a complete record of any disciplinary actions
taken or disciplinary proceedings pending
against the applicant;
(3) an irrevocable consent that service of process in any
action against the applicant arising out of the
applicant's appraisal activities in this State may be
made by delivery of the process on the Executive
Director of the Board;
(4) a statement that the applicant has read and agrees to
abide by all appraiser laws and rules in this State and
agrees to cooperate with any investigation initiated by
the Board including supplying relevant documents and
personally appearing before the Board or the Board's
investigators; and
(5) information sufficient to identify the appraisal
assignment to be performed under the temporary
practice permit, including the projected beginning and
ending dates for performing such appraisal
assignment, but shall not require the applicant to
divulge any information concerning the appraisal
assignment which would breach the applicant's duty
of confidentiality to his client under the provisions of
the Uniform Standards of Professional Appraisal
Practice.
(b) Upon filing a properly completed application
accompanied by a fee of fifty dollars ($50.00) and otherwise
satisfying the Appraisal Board as to his qualifications, eligibility
and moral fitness for temporary licensing or certification
privileges, an applicant shall be granted a temporary practice
permit by the Board authorizing the applicant to perform in this
State the appraisal assignment described in such application,
provided that the length of time projected by the applicant for
completion of the assignment is reasonable given the scope and
complexity of the assignment.
(c) Licensing and certification privileges granted under the
provisions of this Rule shall expire upon the completion of the
appraisal assignment described in the application for temporary
licensing or certification privileges or on the expiration date set
forth in the temporary practice permit, whichever shall come
first. However, upon a showing by the permittee satisfactory to
the Appraisal Board that, notwithstanding the permittee's
diligent attention to the appraisal assignment, additional time is
needed to complete the assignment, the Board shall extend the
licensing or certification privileges granted under the permittee's
temporary practice permit to afford him additional time to
complete the appraisal assignment.
(d) Persons granted temporary licensing or certification
privileges under this Rule shall not advertise or otherwise hold
themselves out as being a North Carolina state-licensed or state-
certified appraiser.
(e) A trainee may apply for a temporary practice permit and
the provisions of Paragraphs taL(bJ and (cJ of this Rule shall
apply. The supervising appraiser for the trainee must also
receive a temporary practice permit. The term "trainee" shall
include apprentices and others who are licensed and regulated by
a state agency to perform real estate appraisals under the
supervision of a licensed or certified appraiser.
Authority G.S. 93E-l-9(c)(d): 93E-1-10: Title XI, Section
1122(a)': 12 U.S.C. 3351(a).
SECTION .0300 - APPRAISER EXAMINATIONS
.0301 TIME AND PLACE
Examinations for real estate trainee registrations, appraiser
licenses and certificates will be scheduled at such times and
places as determined by the Executive Director and the Board-
approved private testing service. Applicants will be scheduled
13:5
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September 7. 1998
517
BSHmnna
PROPOSED RULES
for examination based on their successful completion of
appraiser qualification requirements stated in G.S. 93E-I-6 and
filing an application with the Board. Violation of examination
procedures and instructions shall be grounds for denial,
suspension or revocation of a license or certificate.
Authority CJ.S. 93E-I-6(c): 93E-I-I0.
.0302 SUBJECT MATTER AND PASSING SCORES
(a) The examination for trainee registration, licensure as a
state-licensed real estate appraiser and for certification as a state-
certified residential real estate appraiser shall test applicants on
the following subject areas:
( 1 ) Influences on Real Estate Value:
(2) Legal Considerations in Appraisal;
(3) Types of Value;
(4) Economic Principles;
(5) Real Estate Markets and Analysis;
(6) Valuation Process;
(7) Property Description;
(8) Highest and Best Use Analysis;
(9) Appraisal Statistical Concepts;
(10) Sales Comparison approach;
(11) Site Value;
(12) Cost Approach;
(13) Income Approach (Gross Rent Multipliers. Estimation
of Income and Expenses. Operating Expense ratios);
(14) Valuation of Partial Interests; and
( 1 5) Appraisal Standards and Ethics.
(b) In addition to the subject areas listed in Paragraph (a) of
this Rule, the examination for certification as a state-certified
general real estate appraiser shall test applicants on the following
subject areas:
( 1 ) Direct Capitalization;
(2) Cash Flow Estimates;
(3) measures of Cash Flow; and
(4) Discounted Cash Flow Analysis.
(c) Prior to taking the examination, applicants will be
informed of the score required to pass. Applicants who pass the
examination will only be notified that they have passed.
Applicants who have failed will be informed of their actual
score.
Authorities. 93E-l-6(c): 93E-1-I0.
.0303 RE-EXAMINATION
If an applicant for a real estate trainee registration, license or
certificate fails to pass or appear for anN examination for which
he has been scheduled b> the Board-approved private testing
service, he shall re-apply for examination and shall pa\ the
prescribed examination testing fees to the Board-approved
private testing service.
Authority- G.S. 93E-l-6(b) and (c): 93E-I-10.
.0304 CHEATING AND RELATED MISCONDUCT
Applicants shall not cheat or attempt to cheat on an
examination b\ an\ means, includintz both aivina and receiving
assistance, and shall not communicate in any manner for any
purpose with an\ person other than an examination supervisor
during an examination. Violation of this Rule shall be grounds
for dismissal from an examination, invalidation of examination
scores, and denial of a real estate trainee registration, appraiser
license or certificate, as well as for disciplinar) action if the
applicant holds a trainee registration, an appraiser license or
certificate.
Authority' G.S 93E-l-6(c): 93E-1-10.
.0305 CONFIDENTIALITY OF EXAMINATIONS
Registration, licensing Licensing and certification
examinations are confidential. No applicant, trainee, licensee,
or certificate holder shall obtain, attempt to obtain, receive or
communicate to other persons examination questions. Violation
of this Rule shall be grounds for denial of a real estate trainee
registration, appraiser license or certificate if the violator is an
applicant and disciplinarv' action if the violator holds a trainee
registration, an appraiser license or certificate.
Authority G.S. 93E-I-6(c): 93E-1-10.
.0306 EXAMINATION REVIEW
(a) If the examination is administered by the Board, an Aft
applicant who fails an examination may review his examination
in the presence of a Board-designated representative. Applicants
who review their examinations may not be accompanied by any
other person at a review session, nor may any other person
review an examination on behalf of an applicant. Applicants
who pass an examination may not review their examinations.
(b) If the examination is administered by the Board, the The
Board will establish and publish a schedule for examination
review. An applicant who fails to review his examination at the
established date and time will be deemed to have waived his
right to review his examination.
(^ If the examination js administered by a private testing
service, the terms of the contract between the Board and the
testing service regarding examination review shall apply.
Authority G.S. 93E-l-6(c/: 93E-1-10.
SECTION .0400 - GENERAL APPRAISAL PRACTICE
.0401 USE OF TITLES
(a) A state-registered trainee shall utilize the term "state-
registered trainee" when performing an appraisal of real estate
or any interest therein, and when referring to himself as a
trainee.
fa4(b) A state-licensed residential real estate appraiser shall
utilize the term "state-licensed residential real estate appraiser"
and a state-certified residential real estate appraiser shall utilize
the term "state-certified residential real estate appraiser" when
performing an appraisal of real estate or an>' interest therein, and
when referring to himself as an appraiser. A state-certified ^
general real estate appraiser shall utilize either the term "state W
certified general real estate appraiser" or "state-certified
residential/general real estate appraiser" when performing
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NORTH CAROLINA REGISTER
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PROPOSED RULES
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appraisals of all types of real estate or any interest therein, and
when referring to himself as an appraiser.
(fe)(cj Trainee registration. Licensure licensure or certification
as a real estate appraiser is granted only to persons and does not
extend to a business entit> operated by a trainee, state-licensed
or state-certified real estate appraiser.
Authority G.S. 93E-1-10.
.0402 DISPLAY OF LICENSES AND CERTIFICATES
(a) The trainee registration, real estate appraiser license or
certificate of a trainee, state-licensed or state-certified real estate
appraiser shall be prominently displayed at the trainee's or
appraiser's place of business, provided that the license or
certificate of a managing appraiser and the registration, license
or certificate of each trainee, licensee or certificate holder
engaged in real estate appraisal activities at the office of the
managing appraiser shall be prominently displased at such
office.
(b) The annual license or certificate renewal pocket card
issued by the Board to each trainee, state-licensed or state
certified real estate appraiser shall be retained by the trainee.
licensee or certificate holder as evidence of registration.
licensure or certification.
Authority G.S. 93E-1-10.
.0403 ADVERTISING
(a) When advertising or otherwise holding himself out as a
trainee or real estate appraiser, a state-registered trainee shall
identify' himself as a "state-registered trainee", a state-licensed
residential real estate appraiser shall identify- himself as a "state-
licensed residential real estate appraiser", a state-certified
residential real estate appraiser shall identify himself as a "state-
certified residential real estate appraiser", and a state-certified
general real estate appraiser shall identify himself as either a
"state-certified general real estate appraiser" or a "state-certified
residential/general real estate appraiser".
(b) A registered trainee, state-licensed or state-certified real
estate appraiser doing business as a partnership, association,
corporation or other business entity shall not represent in any
manner to the public that the partnership, association,
corporation or other business entity is erther registered, licensed
or certified by the State of North Carolina to engage in the
business of real estate appraising.
(c) In the event that any trainee, licensee or certificate holder
shall advertise in any manner using a firm name, corporate name,
or an assumed name which does not set forth the surname of the
trainee, licensee or certificate holder, he shall first notify the
Board in writing of such name and furnish the Board with a copy
of each registration of assumed name certificate filed with the
office of the county register of deeds in compliance with G.S.
Section 66-68.
Authority G.S. 93E-1-10.
.0404 CHANGE OF NAME OR ADDRESS
All trainees, licensees and certificate holders shall notify the
Board in writing of each change of business address, residence
address, or trade name within 10 days of said change. The
address shall be sufficiently descriptive to enable the Board to
correspond with and locate the trainee, licensee or certificate
holder.
Authority G.S. 93E-1-10.
.0405 APPRAISAL REPORTS
(a) Each written appraisal report prepared by or under the
direction of a state-licensed or state-certified real estate appraiser
shall bear the signature of the state-licensed or state-certified
appraiser, the license or certificate number of the licensee or
certificate holder in whose name the appraisal report is issued,
and the designation "state-certified residential real estate
appraiser", or the designation "state-certified general real estate
appraiser", or "state-certified residential/general real estate
appraiser", as applicable. Each such appraisal report shall also
indicate whether or not the state-licensed or state-certified
appraiser has personally inspected the property, and shall
identify any other person who assists in the appraisal process
other than by providing clerical assistance.
(b) Every state-licensed and state-certified real estate
appraiser shall affix or stamp to all appraisal reports a seal of a
design authorized by the Board which shall set forth the name
and license or certificate number of the appraiser in whose name
the appraisal report is issued and shall identify the appraiser as
a "state licensed residential real estate appraiser", a "state-
certified residential real estate appraiser", or as a "state certified
general real estate appraiser" or "state-certified
residential/general real estate appraiser", as applicable.
(c) A state-licensed or state-certified real estate appraiser who
signs an appraisal report prepared by another person, including
a trainee or a subcontractor, acting under the direction or
supervision of the appraiser shall be fully responsible for the
content of the report.
(d) A written appraisal report shall be issued on all real estate
appraisals performed in connection with federally related
transactions.
Authority G.S. 93E-1-10.
.0406 MANAGING APPRAISER
(a) A "managing appraiser" shall be designated with the
Board for each appraisal firm and each combined real estate
brokerage and appraisal firm for which real estate appraisals are
performed by:
( 1 ) two or more state-licensed or state-certified real estate
appraisers who are employed by or associated with the
firm; or
(2) unlicensed or uncertified assistants, other than clerical
employees trainees, who are employed by or
associated with the firm and who assist a state-
licensed or state-certified real estate appraiser in the
performance of real estate appraisals.
If one or more state-certified general real estate appraisers is
employed b\' or associated w ith the firm, the managing appraiser
must be a state-certified general real estate appraiser. If one or
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PROPOSED RULES
more state-certified residential real estate appraisers is emplo>ed
b\ or associated \s ith the t1rm. the managing appraiser must be
a state-certified residential or general real estate appraiser. If
onl\ state-licensed residential real estate appraisers are emplo\ed
b\ or associated u ith the firm, the managing appraiser ma\ be a
state-licensed residential real estate appraiser.
(b) The designated managing appraiser shall be responsible
for;
( 1 ) the proper display of licenses and certificates of all
trainees, state-licensed and state-certified real estate
appraisers employed by or associated \s ith the firm,
and ascertaining whether each trainee, licensee or
certificate holder employed by or associated with the
tlrm has complied with Rule .0203 of this Subchapter:
(2) the proper notification to the Board of any change of
business address or trade name of the firm and the
registration of an\ assumed business name adopted by
the firm for its use;
( 3 ) the proper conduct of advertising of appraisal ser\ices
b\ or in the name of the tlrm;
(4) the proper retention and maintenance of records
relating to appraisals conducted b\ or on behalf of the
firm;
(5) the maintenance of a record for each of the firm's
unlicensed and uncertified assistants trainees that
generall) describes the nature and extent of assistance
rendered in connection \\ ith each appraisal; and
(6) the maintenance of a record for each of the firm"s
state-licensed and state-certified residential real estate
appraisers that generalK describes the nature and
extent of assistance rendered b\ the state-licensed
residential real estate appraiser when assisting a state-
certified residential or general real estate appraiser
and an\' assistance rendered by the state-certified
residential real estate appraiser when assisting a state-
certified general real estate appraiser in performing an
appraisal.
No license or certificate holder shall be managing appraiser of
more than one appraisal firm or combined real estate brokerage
and appraisal firm.
(c) Each managing appraiser shall notif\ the Board in writing
of an\ change in his status as managing appraiser within 10 daNS
followinu the chanee.
(3) complies with all provisions of Rule .0405 of this
Section regarding appraisal reports; and
(4) prepares and furnishes to the managing appraiser, if
applicable, and to each trainee, unlicensed and
uncertified assistant whose services were utilized in
connection with the appraisal, a report on a form
prescribed by the Board describing the nature and
extent of assistance rendered by the trainee unlicensed
and uncertified assistant in connection with the
appraisal, and places a copy of such report in the
supporting file for the appraisal.
Authority G.S. 93E-!-3/b): 93E-1-10.
SECTION .0500 - STANDARDS OF APPRAISAL
PRACTICE
.0501 APPRAISAL STANDARDS
(a) Every state-registered trainee, state-licensed and state-
certified real estate appraiser shall, in performing the acts and
services of a state-registered trainee, state-licensed or state-
certitled real estate appraiser, comply with those appraisal
practice standards known as the "Uniform Standards of
Professional Appraisal Practice" promulgated by the Appraisal
Standards Board of the Appraisal Foundation, which standards,
including subsequent amendments and editions of those
standards which ma\' from time to time be approved, are hereb}.'
adopted b) reference in accordance with G.S. 150B-21.6. For
the purpose of this Rule, the "Uniform Standards of Professional
Appraisal Practice" are the preamble. Ethics Provision.
CompetencN Provision. Departure Provision. Jurisdictional
Exception. Definitions. Supplemental Standards. Statements on
Appraisal Standards, and Standards 1. 2. and 3.
(b) A copy of the portions of the "Uniform Standards of
Professional Appraisal Practice" specified in Paragraph (a) of
this Rule is included in the Board's Licensing and Certification
booklet available free of charge.
Authont\- G.S. 93E-1-10.
Authorities. 93E-l-3(h): 93E-I-10.
.0407 SUPERVISION OF TRAINEES
A state-licensed or state-certified real estate appraiser may
emploN a state-registered trainee person or persons not licensed
or certified as a real estate appraiser to assist in the performance
of real estate appraisals, provided that the state licensed or state-
certified real estate appraiser:
activeh and personally supervises the trainee
unlicensed and uncertified assistant:
re\ lews all appraisal reports and supporting data used
in connection with appraisals in which the services of
a trainee an unlicensed and uncertified assistant is
utilized:
(1)
(2)
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September 1, 1998
13:5
TEMPOIL4R Y RULES
The Codifier of Rules has entered the following temporaiy rule(s) in the North Carolina Administrative Code. Pursuant to G.S.
150B-2I. 1(e). publication of a temporaiy rule in the North Carolina Register sen'es as a notice of rule-making proceedings
unless this notice has been previously published by the agency.
»
I
TITLE 1 - DEPARTMENT OF
ADMINISTRATION
Rule-making Agency: Department of Administration
Rule Citation: / NCAC 40.0101 - .0103; .0201 - .0204
Effective Date: August 4, 1998
Findings Reviewed by Beecher R. Gray: Approved
Authority for the rule-making: G.S. 115C-566
Reason for Proposed Action: Pursuant to S.L 1997-507, the
General Assembly has required the Division of NonPublic
Education to assist in drafting rules to implement the new
statute requiring driving eligibility certificates for all students
seeking learners permits and drivers licenses. The statute
requires the Secretary to adopt rules to implement the provisions
for nonpublic and home schools, under the regulation of the
Division of Nonpublic Education. This division was transferred
to the Department of .Administration by the Governor as of July
1, 1998. The effective date of the statute is August 1, 1998, as
rules need to be in place prior to the fall semester
Comment Procedures: All persons wishing to comment on
these proposed rules may do so by sending their written
comments to R. Glen Peterson. General Counsel. Department of
.Administration, 116 West Jones Street, Raleigh. NC 27603-
8003.
CHAPTER 40 - NONPUBLIC EDUCATION
SECTION .0100 - GENERAL PROVISIONS
.0101 PURPOSE
The Division of Nonpublic Education is the agencv of State
government responsible for administering the provisions of
Article 39 of G.S. 115C and is the "duly authorized
representative of the State" for such purposes, as defined in G.S.
115C-563(b).
History Note: A uthority G.S 11 5C-563; 1 1 5C-566:
Temporary Adoption Eff. August 4, 1998.
.0102 ORGANIZATION
The Division of Nonpublic Education is located jn the
Department of Administration pursuant to the assignment of said
division from the Office of the Governor, as designated by order
of the Governor dated May 20. 1998. and effective July I. 1998.
HistoiyNote: Authority G.S 115C-563: 115C-566: 143B-12;
Temporary Adoption Eff .4ugust 4, 1998.
.0103 DEFINITIONS
The following definitions shall apply throughout this Chapter:
(1) "Conventional nonpublic school" means a school
operating under either Part 1 or Part 2 of Article 39.
G.S. 115C.
(2) "Division" means the Division of Nonpublic
Education, except where otherwise identified.
(3) "Home school" means a nonpublic school operating
underPart3ofArticle39. G.S. I15C.
History Note: Authority G.S. 115C-547 through 115C-566;
Temporary Adoption Eff. August 4, 1998.
SECTION .0200 - DRIVING ELIGIBILITY
CERTIFICATES
.0201 DEFINITIONS
For the purposes of G.S. 20-11. G.S. 20-l3.2(cl') and G.S.
1 15C-566. the following definitions shall apply:
(1) "High school diploma or its equivalent" means and
includes the General Equivalency Diploma and the
adult high school diploma.
(2) "Making progress toward obtaining a high school
diploma or its equivalent" means that the student must
meet standards established by the administrator, or the
administrator's designee, in the case of a conventional
nonpublic school or by the person who provides the
academic instruction in the case of a home school.
(3) "Substantial hardship" means a demonstrable burden
on the student or the student's family as evidenced by
circumstances such as the following:
(a) The parent/guardian is unable to drive due to
illness or other impairment and the student is
the only person of driving age jn the
household.
(b) The student requires transportation to and from
a job that is necessary to the welfare of the
student's family and the student is unable to
obtain transportation by any means other than
driving.
(c) The student has been unable to attend a
conventional nonpublic school due to
documented medical reasons, but the student is
demonstrating the ability to maintain progress
toward obtaining a high school diploma or its
equivalent.
(4) A "student who cannot make progress toward
obtaining a high school diploma or its equivalent"
shall mean a student who has been identified by the
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September /, 1998
521
WKmimmm
TEMPOR.4R Y R ULES
administrator, or the administrator's designee, in the process.
case of a conventional nonpublic school or bv the
person who provides the academic instruction m the
case of a home school, as not having the capacit\ to
meet the requirements for a high school diploma or its
equivalent due to a disability.
History Note: Authority G.S. 115C-566:
Temporaiy Adoption Ejf. August 4, 1998.
.0202 ISSUANCE OF DRIVING ELIGIBILITY
CERTIFICATES
(a) Each conventional nonpublic school and home school
shall be responsible for the issuance of driving eligibility
certificates on forms supplied b\ the Division.
(b) Before an\- conventional nonpublic school or home school
can issue a driving eligibility certificate, that school must have
on Hie with the Division a currently valid Notice of Intent to
Operate and must be in compliance with all laws and regulations
applicable to conventional nonpublic schools or home schools
which enroll students subject to compulsory attendance laws.
Once the school is in compliance with such laws and regulations
as apply to it. the appropriate forms may be requested from, and
supplied by. the Division.
£c} Notwithstanding i NCAC 40 .0202(b). aH nonpublic
schools enrolling only students y\ho are age 16 or 1? may not
request driving eligibility certificate forms from the Division
until after the school's currently valid Notice of Intent to
Operate has been on file with the Division for at least six
calendar months. This provision shall not apply jn the case of
any student that js newlv resident in the State of North Carolina
within the 30 days immediately preceding his request for a
driving eligibility certificate from a school affected by this
provision.
(d) A nonpublic school student under the age of 18 who
wishes to obtain a limited learner's permit, a limited prov isional
license or a full provisional license under G.S. 20-1 1 must first
request and obtain a driving eligibility certificate signed by the
administrator, or the administrator's designee, in the case of a
conventional nonpublic school or the person who provides the
academic instruction in the case of a home school.
(e) Before a nonpublic school student is eligible to receive a
driying eligibility certificate, the student must be properly
enrolled in a nonpublic school yvhich js meeting all the
appropriate requirements of Article 39 of G.S. 1 I5C at the time
the certificate is issued and meet one of the following
requirements:
( 1) The student is making progress toward obtaining a
high school diploma or its equivalent.
£2} The student yvill have a substantial hardship placed on
the student or the student's family if the certificate is
not issued.
ill
The student is a student who cannot make progress
toward obtaining a high school diploma or its
equivalent.
(f) If a student is denied a certificate, the chief administrator
of the nonpublic school shall inform the student of the school's
decision and the availability and details of thie school's appeals
Histoiy Note: Authority G.S. 1I5C-566:
Temporaiy .Adoption Eff. .August 4. 1998.
.0203 REVOCATION OF DRIVING ELIGIBILITY
CERTIFICATES
(a) Each nonpublic school shall revoke a driving eligibility
certificate held by one of its students, no matter whether it was
issued by that school or not:
( 1 ) when the student fails to meet the requirements for the
certificate set out in 1 NCAC 40 .0202: or
(2) when the student is no longer enrolled in the school
and does not possess a high school diploma or its
equivalent upon the student's removal from the
schools's rolls, if the student will not be enrolled in
another school (public, conventional nonpublic, home
school or community college).
(b) Upon revocation of a certificate, the chief administrator
of the school shall send written notification of the revocation to
the Division within five calendar davs of the revocation, unless
the student protests the decision. If the Appeals Committee
upholds the school's decision to revoke the certificate, the
notification to the Division will be made within five days from
the school's receipt of tfie committee's decision.
(c) The notification to the Division shall include:
Tlie student's legal name (first, middle and last name
as on the student's birth certificate):
in
tu
(5]
ID
19]
(10)
The student's social security number:
The student's residence address (including street, citv
and zip code):
The student's date of birth:
The student's gender:
The student's race:
The student's learner's permit or driver's license
number:
The name of the parent guardian with whom the
student is living:
A statement of the reasons for the revocation of the
certificate:
The date of the student's ineligibility or removal from
the school's rolls:
The type of nonpublic school, whether conventional
or home school:
The name of the nonpublic school:
The county in v\hich the nonpublic school is located:
The name of' tfie chief administrator of the nonpublic
school,
(d) Within five calendar davs of the Division's receipt of the
written notification of revocation from the nonpublic school, the
Director of the Division or the Director's designee, shall inform
the North Carolina Division of Motor Vehicles of the
revocation.
iAl
(14)
(e) If a student's certificate is revoked, the chief administrator
of the nonpublic school shall inform the student of the school's
decision and the availability and details of the school's appeals
process.
522
NORTH CAROLINA REGISTER
September 1, 1998
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TEMPO RAR Y R ULES
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»
Hisloiy Note: Authority G.S. 115C-566:
Tetnporaiy Adoption Eff. August 4. 1998.
.0204 STUDENT APPEALS PROCESS
(a) Each conventional nonpublic school that enrolls students
that are at least 15 years of age shall establish a Driving
Eligibility Certificate Appeals Committee to receive and act
upon student protests that a driving eligibility certificate was
improperly denied or revoked. All student protests shall be made
within five days of the school's decision and directed to the
chief administrator of the conventional nonpublic school. The
Appeals Committee shall:
(1) Be appointed by and serve at the pleasure of the
administrator of the conventional nonpublic school, or
the administrator's designee; and
(2) Consist of at least three members, each of which shall
be a member of the school's governing board,
administration or staff, or a parent/guardian with a
child currently enrolled in the school.
(b) The Division shall establish a Home Schools Driving
Eligibility Certificate Appeals Committee exclusively to receive
and act upon student protests that a driving eligibility certificate
was improperly denied or revoked by a home school. All home
school student protests shall be made within five days of the
school's decision and directed to the Director of the Division or
the Director's designee, at Division of Nonpublic Education.
Department of Administration. 530 North Wilmington Street.
Raleigh. North Carolina 27604-1198. The Home Schools
Driving Eligibility Certificate Appeals Committee shall:
(1) Be appointed by. and serve on a voluntary basis at the
pleasure of. the Director of the Division or the
Director's designee; and
(2) Consist of at least three members, each being the
administrator of a home school currently operating
under Part 3^ Article 39. G.S. 1 ISC. The members
shall not receive per diem or any other type of
compensation for their service. The Director, or the
Director's designee, shall appoint a chairperson from
the committee's membership. The chairperson shall
then direct the decision-making work of the
committee.
(c) All Driving Eligibility Certificate Appeals Committees
shall:
(1) consider the written protest of the student as to why
the driving eligibility certificate was improperly
denied or revoked;
(2) decide the protest based on whether the requirements
for the certificate were met or whether the certificate
was properly revoked;
(3) render its decision within 30 calendar days of receipt
of the written protest from the student, and promptly
notify the student and the chief administrator of the
school of the decision.
(d) The decision of the appropriate appeals committee shall
be final.
Histon- Note: Authority G.S. 115C-566:
Temporar}' Adoption Eff. August 4. 1998.
TITLE 16 - DEPARTMENT OF PUBLIC
EDUCATION
Rule-making Agency: State Board of Education
Rule Citation: 16 NCAC 6E .0301
Effective Date: August 15. 1998
Findings Reviewed by Beecher R. Gray: Approved
Authority for the rule-making: G.S. 20-88.1: 115C-12(28)
Reason for Proposed Action: The General Assembly directed
the State Board to work with two other agencies to develop
coordinated rules for the implementation for the driving
eligibility program established by SL 1998-507.
Comment Procedures: Questions or written comments
regarding this matter may be directed to Hariy E. Wilson, Rule-
making Coordinator, 2086 Education Building, 301 N.
Wilmington St., Raleigh, NC 27601-2825: (919) 715-1310.
CHAPTER 6 - ELEMENTARY AND
SECONDARY EDUCATION
SUBCHAPTER 6E - STUDENTS
SECTION .0300 - DRIVER TRAINING
.0301 DRIVER TRAINING
(a) In discharging their duty to provide a course of training
and instruction in the operation of motor vehicles as set forth in
G.S. 1I5C-216, local boards of education shall provide a
program which meets the following standards and requirements:
( 1 ) Principals shall enroll students who meet the criteria
established by G.S. 20-88. l(a)(i), (ii), (iii) and (iv);
(2) The program will be free of charge to eligible
students:
(3) Enrollees must obtain either a temporary learner's
permit or a restricted instruction permit before they
begin behind-the-wheel instruction;
(4) Classroom instruction will consist of at least 30 clock
hours of instruction in the topics previously listed in
the Healthful Living Section of the Teacher
Handbook. Beginning in school year 1992-93.
students may take and pass a proficiency examination
developed or designated by the Department of Public
Instruction to waive the classroom instruction. Each
student must complete a minimum of six hours of
behind-the-wheel instruction;
(5) The program will be reasonably available on a
year-round basis to all eligible persons;
(6) The local board of education will determine class size
restrictions, but may not allow instruction in the car to
less than two nor more than four students;
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NORTH CAROLINA REGISTER
September I, 1998
523
BOSS,
TEMPOR.4RY RULES
(7) The local board of education v\ill determine the
amount of instruction per da\ for classroom or in-car
instruction or a combination of both;
(8) The local board of education will issue a certificate to
students who satisfactoriK complete the prescribed
course;
(9) Driver education instructors must possess a valid
North Carolina driver's license and must have a
driving record acceptable to the local board of
education. In addition, instructors hired for driver
education shall either:
(A) hold a driver education certificate issued b\ the
SBE; or
(B) have non-certified status according to
minimum standards established by Rule .0302
of this Section.
(10) Except as previousK allowed h\ the SBE. the
program shall not be provided during the regular
instructional da).
(b) Two or more local boards of education ma\ jointK
operate a program under a written agreement meeting the
requirements of G.S. 160A-464. The agreement shall provide
for one local board of education to assume administrative
responsibility for the program.
tc] For purposes of G^.S. 20-1 1. G.S. 20-13.2(cn. and G.S.
1 15C- 12(28). the following definitions shall appK:
( 1 ) "High school diploma or its equivalent" means and
includes the General Equivalency Diploma (G.E.D.)
and the adult high school diploma.
(2) "Making progress toward obtaining a high school
diploma" means that the student must pass at least
70° 0 of the maximum of possible courses each
semester and meet promotion standards established b\
the LEA.
(3) "Substantial hardship" means a demonstrable burden
on the student or the student's famih as evidenced b\
circumstances such as the following:
(A) The parent is unable to dri\e due to sickness or
other impairment and the student js the onl\
person of driving age in the household.
(B) The student requires transportation to and from
a job that js necessary to the welfare of the
student's famiK and the student is unable to
obtain transportation by an\ means other than
driving.
(C) The student has been unable to attend school
due to documented medical reasons, but the
student is demonstrating the abilits to maintain
progress tovsard obtaining a high school
diploma.
(4) A "student who cannot make progress toward
obtaining a high school diploma or its equivalent"
shall mean a student who has been identified by the
principal or principal's designee, together with the
lEP committee or the school's student assistance
team, as not having the capacity to meet the
requirements for a high school diploma or its
equivalent due to a disability.
(d) Each LEA shall determine the process bv which decisions
concerning the issuance ot'a driving eligibilin shall be appealed.
(e) The principal of a high school or the principal's designee
shall notifi, the Division of Motor Vehicles whenever a student
is no longer making progress toward obtaining a high school
diploma or jts equivalent or when the student has dropped out of
school.
(f) Each charter school, non-public school accredited bv the
SBE. and community college shall designate an official who
shall notil\ the Division of Motor Vehicles whenever a student
is no longer making progress toward obtaining a high school
diploma.
History Note: Filed as a Temporary Adoption Eff. August 12.
1 99 1 for a period of 1 80 da}'s to expire on February 7, ]992:
A uthority G. S. 20-88. 1:11 5C-2 16:
ARRC Objection Lodged .August 22. 1991:
Eff. March 1. 1992:
Temporaiy Amendment Eff. .August 15. 1998.
TITLE 23 - DEPARTMENT OF
COMMUNITY COLLEGES
Rule-making Agency: North Carolina State Board of
Community Colleges
Rule Citation: 23 NC.4C 2C .0307
Effective Date: .August 21. 1998
Findings Reviewed by Julian Mann: .Approved
-Authority for the rule-making: G.S. 115D-5la3)
Reason for Proposed .Action: Pursuant to the 199~ S.L. c 50~.
§ 4. the General .Assembly has required the State Board of
Community Colleges to issue rules regulating the issuance of
drivers eligibility certificates to persons enrolled in community-
colleges. § 6 of this chapter requires the State Board of
Community Colleges to develop this Rule in coordination v.ith
the State Board of Education and the Office of Son-Public
Education in the Governor's Office.
This Rule needs to be in effect by fall semester to accommodate
high school dropouts between the ages of 16 and 18 who choose
to attend community colleges to maintain their drivers' licenses
or to become eligible for drivers ' eligibility certificates.
Comment Procedures: .All persons interested in this Rule may
submit statements in writing from the date of this notice until
October 1. 1998. delivered or mailed to Mr Morris W. Johnson.
North Carolina Cotnmunity College System. 200 IV. Jones
Street. Raleigh. \C 2^603-1 3 '9.
CHAPTER 2 -COMMUNITY COLLEGES A
SUBCHAPTER 2C - COLLEGES:
524
\ORTH CAROLINA REGISTER
September 1, 1998
13:5
TEMPORAR Y R ULES
9
ORGANIZATION AND OPERATIONS
.0307 DRIVERS' ELIGIBILITY CERTIFICATE
(a) Local Boards of Trustees shall be responsible for the
issuance of driving eligibility certificates, the timely reporting of
dropouts and students unable to make adequate progress toward
graduation, and the provision of grievance procedures associated
with the issuance of driving eligibility certificates. Local Boards
of Trustees shall provide a program which meets the following
requirements:
(1) The president or the president's designee shall issue
a driving eligibility certificate if it is determined that:
(A) The student seeking the certificate is currently
enrolled m a basic skills program and is
making progress toward obtaining a high
school diploma or its equivalent. "Making
progress toward obtaining a high school
♦
(Bj
»
diploma" for a person enrolled in a community
college basic skills program is defined as:
(ij Attending a basic skills class a minimum
of 60 hours per month for a period of
six consecutive months: and
(I) Demonstrating progress in GED
at the end of each six month
period by passing a minimum of
two GED tests with a score of 40
or higher.
(11) Demonstrating progress in Adult
High School at the end of each
six month period by passing a
minimum of two Adult High
School units.
(Ill) Demonstrating progress in Adult
Basic Education or English as a
Second Language at thie end of
each six month period by one of
the following: increase scores on
each subsequent standardized test
or make progress as documented
by teacher assessment.
(ii) If a student does not meet the criteria for
making progress and attendance during
any month, the president or the
president's designee shall notify the
Division of Motor Vehicles the
following month that the student no
longer meets the requirements for the
driving eligibility certificate.
A substantial hardship would be placed on the
person seeking the certificate or the person's
family if tjie person does not receive the
certificate. Examples of a substantial hardship
include:
tij A parent's inabilits to drive due to
sickness or other impairment and the
student is the only person of driving age
in the household.
(ii) The student requires transportation to
and from a job that is necessary to the
welfare of his family and is unable by
any other means to do so.
(C) The person seeking the certificate cannot make
progress toward obtaining a high school
diploma or its equivalent. The president or the
president's designee shall determine, along
with input from other basic skills staff, if a
student is unable to make progress toward
obtaining a high school diploma or its
equivalent.
(b) Any person denied a driving eligibility certificate may
appeal that decision through the colleges' student grievance
procedure.
(c) The president or the president's designee shall notify the
Division of Motor Vehicles when a student is no longer making
progress as determined in this Rule or when a student officially
drops out of school. The president's designee shall be the Basic
Skills Director.
History Note: Authority S.L 1997. c. 507. s. 4 and 6:
Temporary Adoption Eff. August 21. 1998.
13:5
NORTH CAROLINA REGISTER
September 1, 1998
525
RILES RE\ lEW COMMISSION
1 his Section contains the ui^enJa for the next meeting of tlie Rules Review Commission on Thursdax. September I'. 1998.
lO.OU a.m.. at I3(J~ Glemvood Ave.. .Assembly Room. Raleigh. .\'C. .Anyone wishing to submit written comment on any rule
before the Commission should submit those comments to the RRC staff, the agency, and the individual Commissioners by
Monday. September 14. 199H. ql 5:00 p.m. Specific instructions and addresses may he obtained from the Rules Review
Commission at 9l9-~33-2~21. .Anyone Mishing to address the Commission should notif- :he RRC staff and the agency at least
24 hours prior to the meeting.
RULES REVIEW COMMISSION MEMBERS
Appointed by Senate
Teresa L. Smallwood. Vice Chairman
Jim Funderburke
Vemice B. Howard
Philip O. Redwine
Da\ id T\\ idd\
Appointed by House
Paul Powell. Chairman
Anita WTiite. 2"^ Vice Chairman
Mark Garside
Steve Rader
Georae Robinson
RULES REVIEW COMMISSION MEETING DATES
September 17. 1998
October 15. 1998
November 19.
December 1 7.
1998
998
MEETING DATE: SEPTEMBER 17, 1998
LOG OF FILINGS
RULES SUBMITTED: JULY 20, 1998 THROUGH AUGUST 20, 1998
AGENCY/DIVISION
RULE NAME
RULE CITATION
ACTION
DHHS/MEDICAL CARE COMMISSION
Reporting and In\ estigating
JUSTICE/NC ALARM SYSTEMS LICENSING BOARD
Statement of Purpose
Definitions
Required CLE Hours
Accreditation Standards
Non-Resident Licensee
Recording and Reporting CLE Credits
Non-Compliance
CRIME CONTROL & PUBLIC SAFETY, DEPARTMENT OF
Time Limitation
10NCAC3H.2210
Amend
12NCAC 11
.0501
Adopt
12NCAC 11
.0502
.Adopt
12NCAC 11
,0503
Adopt
12NCAC 11
.0504
Adopt
12NCAC 11
.0505
Adopt
12NCAC 11
.0506
Adopt
12NCAC 11
.0507
.Adopt
14NCAC7.
3313
Amenc
DENR/ENVIRONMENTAL MANAGEMENT COMMISSION
Permit Requirements
DENR/COASTAL RESOURCES COMMISSION
Specific Use Standards
Specific conditions
DENRAVILDLIFE RESOURCES COMMISSION
Rabbits
15NCAC2H.0610 Repeal
15NCAC 7H .0308 .Amend
15NCAC7H .1705 Amend
1 5 NC AC 1 OB .0207 Amend
526
NORTH CAROLINA REGISTER
September L 1998
13:5
RULES REVIEW COMMISSION
f
DENR/COMMISSION FOR HEALTH SERVICES
Standards for Owners
15NCAC 13A .OlOQ
Amend
Interim Status Standards
15NCAC 13A .0110
Amend
Standards for Management
15NCAC 13A.0111
Amend
Disposition of Fetal Remains
15NCAC 138.1301
Amend
Alternate Landfill Liner
15NCAC 138.1624
Amend
TRANSPORTATION, DEPARTMENT OF/DIVISION OF HIGHWAYS
General Regulations for Drawbridges
19NCAC2D.0415
Amend
Disqualification of Bidders
19NCAC2D.0816
Amend
STATE BOARDS/ATHLETIC TRAINER EXAMINERS, BOARD OF
Application for Licensure
21NCAC3.0101
Adopt
Good Moral Character
21 NCAC3 .0102
Adopt
Athletic Trainers not Certified
21NCAC3.0103
Adopt
Fees
2 INC AC 3. 0201
Adopt
Renewal Request Form
21NCAC3.0301
Adopt
Continuing Education
21 NCAC3.0302
Adopt
Lapsed License
21NCAC3.0303
Adopt
Board Approval of Courses
21NCAC3.0304
Adopt
Disciplinary Actions
21 NCAC3 .0401
Adopt
Minimum Requirements
21NCAC3.0501
Adopt
STATE BOARDS/COSMETIC ART EXAMINERS, STATE BOARD OF
Report of Enrollment
21 NCAC 141 .0107
Amend
General Exam Instructions
21NCAC 14N.0103
Amend
»
RULES REVIEW COMMISSION
August 20, 1998
MINUTES
The Rules Review Commission met on August 20. 1998. in the Assembly Room of the Methodist Building. 1307 Glenwood Avenue.
Raleigh, North Carolina. Commissioners in attendance were Vice Chairman Teresa L. Smallwood, Stephen P. Rader. George S.
Robinson. David R. Twiddy. Anita A. White, and Mark P. Garside.
Staff members present were: Joseph J. DeLuca. Staff Director; Bobby Bryan. Rules Review Specialist: and Sandy Webster.
The following people attended:
Valerie Chaffin
Charlotte Hall
Harr% Wilson
Charles Jones
Kim Murphy
EmiK Lee
Dedra Alston
Ed Norman
Hunton & Williams
DHHS/MH/DD/SAS
State Board of Education
DENR/DCM
DENR/DCM
Transportation
DENR
DENR
APPROVAL OF MINUTES
I
The meeting was called to order at 10:15 a.m. with Vice Chairman Smallwood presiding. She asked for any discussion, comments,
or corrections concerning the minutes of the July 23, 1998 meeting. There being none, the minutes were approved.
13:5
NORTH CAROLINA REGISTER
September 1, 1998
527
RULES REVIEU COMMISSION
FOLLOW-UP MATTERS
1 5 A NCAC 1 8A .3 1 0 1 . .3 1 02. .3 1 05. .3 1 08. and .3 1 09 - DENR, Commission for Health Services; The rewritten rules submitted by
the agencN were approved b> the Commission,
LOG OF FILINGS
Vice Chairman SmalJwood presided over the review of the log and all rules were unanimousK approved with the following
exceptions:
16 NCAC 6G .0501 - State Board of Education; Commissioner Twidd\ voted not to approve this rule. Vice Chairman Smallwood
voted to approve.
COMMISSION PROCEDURES AND OTHER MATTERS
Mr DeLuca requested that the October meeting be changed from October 1 5 to October 22. The Commissioners agreed. The next
meeting will be on September 17, 1998.
The meeting adjourned at 10;50 a.m.
Respectfully submitted.
Sandv Webster
528 yORTH CAROLINA REGISTER September 1, 1998 13:5
CONTESTED CASE DECISIONS
1 his Section contains the full text of some of the more significant Administrative Law Judge decisions along with an index
to all recent contested cases decisions which are filed under North Carolina's Administrative Procedure Act. Copies of the
decisions listed in the index and not published are available upon request for a minimal charge by contacting the Office of
Administrative Hearings. (919) 733-2698.
OFFICE OF ADMINISTRATIVE HEARINGS
Chief Administrative Law Judge
JULIAN MANN, III
Senior Administrative Law Judge
FRED G. MORRISON JR.
ADMINISTRATIVE LAW JUDGES
Brenda B. Becton
Sammie Chess Jr.
Beecher R. Gray
Melissa Owens
Meg Scott Phipps
Robert Roosevelt Reilly Jr.
Dolores O. Smith
I
AGENCY
.\LCOHOLIC BEVER.4GE CONTROL COMMISSION
Alcoholic Beverage Control Commission \ Kenneth Jerome
Alcoholic Beserage Control Commission v Jesse Jacob Joyner, Jr
Alcoholic Beverage Control Commission v Axis Entertainment
Sokha Huor Ramadneh v Alcoholic Beverage Control Commission
Alcoholic Beverage Control Commission \ Delores Williams AInaqib
Alcoholic Beverage Control Commission v Axis Entertainment
Alcoholic Beverage Control Commission v Bridgette Dee Williams
Alcoholic Beverage Control Commission v Robert Lee. Inc
Tarus Jackson v Alcoholic Beverage Control Commission
CRIME CONTROL AND PLBLIC SAFETY
Loretta Battle \ Crime Victims Compensation Commission
Cvnthia Austin v Crime Victims Compensation Commission
Marcella Skaggs v Crime Victims Compensation Commission
Talmadge E McHenrs v Crime Victims Compensation Commission
Kenneth T Lvlle v Crime Victims Compensation Commission
Mia Thompson-Clark \ Crime Victims Compensation Commission
ENA IRONMENT AND NATl R\L RESOl RCES
Teresa Heflm v Department ot"En\ ironment and Natural Resources
Ronald Prater v Department of Environment and Natural Resources
James F Smith v Department of Environment and Natural Resources
Hickorv Alliance v Department of Environment and Natural Resources
and
Godfre\ Lumber Company. Inc
John M SiKia \ Department of Environment and Natural Resources
Godfrev Lumber Company. Inc v Dept /Environment & Natural Resources
and
Hickory Alliance
Oregon. B Jackson. Brenda R Jackson v Greene Ct\ HIth Dept . ENR
Robert G Gofl". Sr v Department of Environment and Natural Resources
Scotland Water. Cedar Circle v Environment and Natural Resources
Robert G GofT. Sr \ Department of Environment and Natural Resources
Division of Environmental Management
Save Our Rivers. Inc . et al v Town of Highlands. EHNR. Env Mgmt .
William W. Cobey, Jr, Secretary
CASE
DATE OF
PLBLISHED DECISION
NUMBER
AU
DECISION
REGISTER CITATION
97 ABC 1205
Phipps
07/23/98
97 ABC 1438
Phipps
06/19/98
98 ABC 0357»'
Reillv
07/02/98
98 ABC 0382
Smith
06/30/98
13:03 NCR 350
98 ABC 0392
Chess
07/30/98
98 ABC 0401*'
Reillv
07/02/98
98 ABC 0501
Reillv
08/11/98
98 ABC 05 18
Gra\
08/11/98
98 ABC 0768
Smith
07/13/98
97 CPS 0654
Gra\
08/10/98
97CPS 1499
ReilK
08/12/98
13 05 NCR 533
98 CPS 0065
Owens
06/05/98
98 CPS 01 16
Gray
06/24/98
98 CPS 01 76
Reillv
07/06/98
98 CPS 0349
Chess
05/14/98
97 EHR 0409
Morrison
07/29/98
97EHR0451
Reillv
07/02/98
97 EHR 1 365
Chess
07/17/98
97 EHR 1607
Reilly
07/17/98
97 EHR 1646
Chess
06/03/98
97 EHR 1676
Reilly
07/1 7/98
98 EHR 0042
Reillv
07/02/98
98 EHR 0072»-
Gra\
06/25/98
98 EHR 0236
Smith
06/09/98
98 EHR 0448»-
Gray
06/25/98
91 EHR 0377
Gra\
07/30/98
13:5
NORTH CAROLINA REGISTER
September 1, 1998
529
I
•
CONTESTED CASE DECISIONS
AGENCY
Division of Marine Fisheries
Lads LaShanda Mehin Br>ant \ EHNR. Division of Marine Fisheries
HEALTH AND HI MAN SER\ ICES
Stanles C Ochulo \ Off /Administrative Hearings. Mr R Marcus Lodge
Oliver C Johnson. Hazel T Johnson \ Health and Human Services
Louise Streater v Health and Human Services
Richard E Laurence. Rebecca A Laurence \ Health and Human Services
Carolyn L Freeman \ Department of Human Resources
Christopher Gemiano. Lee Germano v Department of Health
Division of Child Development
DulatovvTi Preshvterian Children's
Ctr \ DHHS. Child Development
Division of Facility Services
Pearlie W Lauson v DHHS. Facility Svcs . Health Care Personnel Reg
Annie K Morgan v Health & Human Services . Facility Services
Mooresville Hospital Mgmt Associates. Inc d/b/a Lake Norman Regional
Medical Center v DHR. Facility Sen ices. Certificate of Need Section
and
Autumn Corporation and McKinlev V Jumev
Constellation Health Services. Inc and Constellation Senior Services.
Inc v DHR. Facilitv Services. Group Care Licensure Section
and
Diversified Health Group. LLC and The Innovative Health Group. Inc
Sunlite Retirement Home. Winnie Jane Johnson v DHR. Facility Services
Ann Da\ IS Rest Home \ Group Care Licensure Section
Diane Lingard v DHR. Facility Svcs. Health Care Personnel Reg
KimberK .Annette Smith Hull \ DHHS. DiMSion of Facility Services
Deborah Ann Holt v DHHS. Division of Facility Services
Annie K Morgan v Health & Human Ser\ ices . Facility Services
Johnnie E Williams v DHHS. Division of Facility Services
Division of Medical Assistance
Charlotte-Mecklenburg Hospital .Authority, d/b/a Carolinas Medical Ctr.
and Hanv Mahannah. M D \ DHHS. Division of Medical Assistance
( ASE
DATE OF
Nl MBER
ALJ
DECISION
97EHR 145Q
Gras
07/20/98
98 DHR 002 1
ReilK
06/24/98
98 DHR 0090
Gras
07/08/98
98 DHR 0196
Gra\
06/03/98
98 DHR 0209
Phipps
07/15/98
98 DHR 0721
Gray
08/05/98
98 DHR 0780
Owens
07/28/98
98 DHR 0654
Gra\
08/06/98
97 DHR 1034
Becton
07/30/98
97 DHR 1046*"
Phipps
07/23/98
97 DHR 1209
ReilK
06/23/98
PI BEISHEDDEdSION
REGISTER CITATION
97 DHR 1529
Gra\
06/24/98
98 DHR 01 24
Phipps
06/11/98
98 DHR 0197
Phipps
06/23/98
98 DHR 02 14
Becton
06/22/98
98 DHR 0239
Phipps
06/23/98
98 DHR 0348
Phipps
06/22/98
98 DHR 049b»"
Phipps
07/23/98
98 DHR 0639
ReilK
07/02/98
97 DHR 0621
Smith
07/08/98
Division of Social Serxices
William & Crvstal Steaklev \ DHHS. Division of Social Services
Raji Abdus-Salaam \ Department of Human Resources. DSS-DCA
Child Support Enforcement Section
JetTerv Lee Graves v Department of Human Resources
Donald L Carr. Jr v Department of Human Resources
Mar\ in Diggs \ Department of Human Resources
Dennis Lee McNeill \ Department of Human Resources
Byron O .Ashbv II v Department of Human Resources
Hubert L Morrison v Department of Human Resources
Michael .-X Wilder v Department of Human Resources
BilK Anthonv Jr \ Department of Human Resources
.Alton D Bagle\ v Depanment of Human Resources
Bemel B Berrv Jr \ Department of Human Resources
Darrvl Simpkms v Department of Health & Human Services
Anthons Montgomerv \ Department of Human Resources
Terry Letterman \ Department of Human Resources
Annette Chipman \ Department of Human Resources
Paul J Moblev.Jr v Department of Human Resources
Robert A Sherer v Department of Human Resources
Rodger Hazen II \ Department of Human Resources
Wade , A Burgess v Department of Human Resources
Robert L Robinson \ Department of Human Resources
Jamie A Hum v Depanment of Health & Human Services
Renardo Jenkins \ Department of Human Resources
.Anthons Love v Department of Human Resources
Steven Kent Gold s Departmeni of Human Resources
Leros J Poole v Department of Human Resources
Hosal A McLean s Department of Health & Human Services
Michael Bernard Hill s Department of Health & Human Services
Charlie RatlitTJr s Depanment of Health & Human Services
John B Halls Depanment of Human Resources
Derrick .A Brinton s Department of Human Resources
Tahatha D Pates Depanment of Human Resources
.Amanda F Blount s Depanment of Human Resources
John L Bullard s Department of Human Resources
98 DHR 0076
Gras
07/20/98
98 DHR 0771
Ossens
07/30/98
98CR.A0137
Becton
06/23/98
98 CRA 0545
Reillv
06/08/98
98 CRA 0588
Reillv
06/24/98
96CSE 1305
Gras
06/22/98
96CSE1435
Mann
07/15/98
96CSE 1649
Reills
08/12/98
97CSE 1301
Chess
07/17/98
97CSE1393
Reillv
06/24/98
97CSE 1424
Chess
06/02/98
97CSE 1435
Smith
06/12/98
97CSE 1436
Chess
08/11/98
97CSE 1442
Phipps
06/17/98
97CSE 1492
Smith
06/22/98
97CSE 1545
Phipps
07/23/98
97CSE 1568
Phipps
06/1 7/98
97CSE 1605
Mann
07/15/98
97CSE1666
Chess
07/1 7/98
98CSE0071
Morrison
06/12/98
98CSE0130
Reillv
07/15/98
98 CSE 0307
Morrison
07/06/98
98CSE0310
Smith
06/23/98
98 CSE 0312
Phipps
06/23/98
98 CSE 0333
Momson
07/01/98
98 CSE 0375
Reills
07/02/98
98 CSE 0420
Smith
07/29/98
98 CSE 0421
Becton
07/15/98
98 CSE 0449
Mann
07/15/98
98 CSE 0506
Chess
07/20/98
98 CSE 0555
Smith
08/07/98
98 CSE 0556
Becton
06/23/98
98 CSE 0560
Chess
07/29/98
98 CSE 0569
Momson
08/06/98
530
NORTH CAROLINA REGISTER
September 1, 1998
13:5
CONTESTED CASE DECISIONS
\%
AGENCY
Charlie Gra\ HuntJr v Department of Human Resources
Robert L Williams v Department of Human Resources
Teresa L Gallo\va\ v Department of Health & Human Services
Vernon Reginald Pinkney v Department of Health & Human Services
Elijah G Deans V Department of Health & Human Ser\'ices
James Howard Alexander \ Department of Health & Human Services
Vickie E Lane v Michael L Adams. Department of Human Resources
Janice Scott Padgett (Fisher) \ Department of Human Resources
Barbara Fanta-Blandine v Department of Human Resources
Sharon Brim v Department of Health & Human Services
Tenia M Sharpe v Department of Human Resources
Ruth McFadden v Department of Human Resources
Division of Women 's and Children 's Health
Joseph A Nauas v DHHS, Women's/Children's Health, Nutrition Svcs
CASE
DATE OF
NIMBER
ALJ
DECISION
98 CSE 0607
Smith
06/22/98
98 CSE 0682
Smith
06/22/98
98 CSE 0769
Becton
07/30/98
98 CSE 0833
Owens
07/29/98
98 CSE 0867
Phipps
07/20/98
98 CSE 0869
Reilly
08/06/98
96 DCS 2105
Gra\
07/08/98
97 DCS 1219
Smith
07/29/98
97 DCS 1486
Morrison
06/22/98
97 DCS 1574
Gra\
08/04/98
98 DCS 0468
Mortison
06/09/98
98 DCS 0675
Reilly
07/1 5/98
98DHR0637
Phipps
07/02/98
PI BUSHED DECISION
REGISTER CITATION
JUSTICE
»
Alarm Systems Licensing Board
Claude David Huggms v Alarm Systems Licensing Board
Auctioneer Licensing Board
Wiley R Tyndall v Auctioneer Licensing Board
Education and Training Standards Division
Thomas Dwayne BrowTi v Sheriffs' Education & Training Standards Comm
Odis Fitzgerald Darden v SheritTs' Education & Training Standards Comm
Hoyle Kenneth Wise, Jr v SheritTs' Education & Training Standards Comm
Hearl Oxendme v Criminal Justice Education & Training Stds Comm
James Farrell Roberts v Criminal Justice Education & Training Stds Comm
Phillip Keith McPherson v Sheriffs' Education & Training Standards Comm
Darvl LaMar Bryant v Sheriffs' Education & Training Standards Comm
William Scott Ke\ \ SheritTs' Education & Training Standards Comm
Johnny Wayne Wills v Criminal Justice Education & Training Stds Comm
James E Ellerbe v SheritTs' Education & Training Standards Comm
Paul Harvey Taylor v DOJ, Criminal Justice Ed & Training Stds Comm,
Private Protective Services Board
Claims Verification, Inc v Private Protective Services Board
BOARD OF MEDICAL EXAMINERS
Joe D Crawford. M D v Medical Bd of NC Bd of Medical Examiners
PIBLIC INSTRUCTIO.N
Nicholas Eirschele, By and Through! His Parents. Charles & Kathleen
Eirschele V Craven Countv Board of Education
Mrs Ph\llisY Moore \ Cumberland Countv Schools
98 DOJ 0871
Morrison
07/09/98
97 DOJ 1236
Phipps
07/24/98
97 DOJ 1319
Phipps
07/29/98
97 DOJ 1698
Reillv
06/12/98
98 DOJ 0022
Smith
07/14/98
98 DOJ 0121
Smith
06/22/98
98 DOJ 0147
Smith
07/16/98
98 DOJ 0388
Reilly
07/24/98
98 DOJ 0430
Gra\
07/21/98
98 DOJ 0432
Becton
06/08/98
98 DOJ 0574
Chess
07/30/98
98 DOJ 0600
Morrison
08/07/98
98 DOJ 0841
Phipps
07/10/98
98 DOJ 0848
Smith
08/04/98
98BME0870
Owens
07/30/98
97EDC 1234
Phipps
07/1 6/98
98 EDC 0305
Gray
08/05/98
STATE PERSONNEL
Department of Correction
Terry T Rees \ Department of Correction
Leon Owens v Department of Cortection
Terrv T Rees \ Department of Cortection
Jayne D Bledsoe v Cortection. Div of Adult Probation & Parole
Carl W Craven, II v Pender Cortectional Institution
Tommy L Hancock v Department of Cortection
Crime Control and Public Safety
Roger D Davis \ Crime Control & Public Safets; St Hw>' Patrol
.Albert R Little v Crime Control & Public Safety, Info Sys Specialists
Employment Security Commission
Jane B Bolin and Arlene G Sellers v. Employment Securitv' Commission
Jane B Bolin and Arlene G Sellers v Employment Secuntv Commission
Environment and Natural Resources
Charles Anthony Bruce v ENR, Division of Parks and Recreation
97 0SP 1671*-'
Smith
06/30/98
98 OSP 0050
Becton
07/10/98
98OSP0119»^
Smith
06/30/98
98 OSP 0543
Owens
07/29/98
98 OSP 0633
Smith
06/25/98
98 OSP 0881
Owens
08/04/98
97 OSP 061 7
Chess
05/27/98
97 OSP 11 57
Morrison
07/22/98
97 OSP 1122''
Chess
06/02/98
97 OSP 1134*'
Chess
06/02/98
98 OSP 0240
Reillv
06/08/98
I
Consolidated Cases.
13:5
NORTH CAROLINA REGISTER
September 7, 1998
531
CONTESTED CASE DECISIONS
AGENCY
Health and Human Services
Angela M Miles v Cumberland County Department of Social Services
Charit\ Swick V Cumberland Counts Department ol Social Services
Ruth Holro>d v Montgomerx Ct\ DSS, Children's SerMces
James W Crews v DHUS, Murdoch Center
Patricia R Quick \ DHIIS. Dorothea Di\ Hospital
Angela M Miles v Cumberland County Department of Social Services
Delores l.averne Rich s Health & Human Services. Dorothea Di\ Hosp
Anthonv M Rui/ v Department ot Health & Human Svcs, Youth Svcs
Rudolph Waters v DHHS, Youth Services. Dobbs School
Euvvell Falconer v Karen A Andrews. Gaston-Lincoln .Area Mental Health
JetTrey L Williams v Dorothea Dix Hospital
Barbara Jean Paquette v Durham County (respondeat superior for the
Durham Countv Public Librarv )
(ASK
DATK OF
PUBLISHED DECISION
M MBKR
A I, J
DECISION
REGISTER CITATION
97OSP06I3*-
Gray
07/10/98
97 OSP 0775
Gray
07/10/98
97 0SP 1586
Smith
05/27/98
13 02 NCR 257
98 OSP 0060
Gray
07/20/98
98 OSP 0061
Becton
07/16/98
98 OSP 0084*'
Gray
07/10/98
98 OSP 0120
Grav
07/08/98
98 OSP 0454
Gray
06/04/98
98 OSP 0474
Morrison
07/30/98
98 OSP 0538
Reillv
08/06/98
98 OSP 0595
Becton
07/22/98
98 OSP 0765
Morrison
08/05/98
Secretary of Slate
Jonathan M Demers v Department of Secretary of State
Department of Transportation
Larry W Davis v Department of Transportation
Sherry Lynn Noles v Department of Transportation-NCDMV
University of North Carolina
Douglas Love. Jr v UNC Hospitals
Deborah J Fenner v NC Central University
Joyce M Smith v North Carolina Central UniversiP.
Edwin Swam v University of North Carolina at Chapel Hill
Leo Watford, Roosevelt Parris. Claiborne Baker, et al v LIniversity of
North Carolina at Chapel Hill
Jonathan 1. Fann v North Carolina State University Physical Plant
Robert W Brinson v NC State University
STATE TREASIRER
Hugh A Wells v Consolidated Judicial Retirement System of NC.
Bd of Trustees Teachers and State Employees' Retirement System
97 OSP 1018
Becton
07/07/98
13 03 NCR
343
98 OSP 0241
Grav
07/08/98
98 OSP 0269
Chess
08/11/98
97 OSP 0662
Reillv
06/08/98
97 OSP 0902
Chess
05/29/98
97 OSP 1297
Smith
06/25/98
97 OSP 1694
Morrison
07/31/98
98 OSP 0254
Chess
07/17/98
98 OSP 0465
Becton
07/17/98
98 OSP 0887
Owens
08/10/98
98 DST 03 1 6
Morrison
06/05/98
1301 NCR
166
TR.\NSPORTATION
David Warren Dew et al
v Motor Vehicles. Alexander Killens Comm
95 DOT 1144
Grav
06/04/98
l!NIVERSIT^ OF NORTH CAROLINA
Ladonna P James v UNC Hospitals
98 UNC 0591
Becton
07/20/98
532
NORTH CAROLINA REGISTER
September 1, 1998
13:5
CONTESTED CASE DECISIONS
STATE OF NORTH CAROLINA
k COUNTY OF NEW HANOVER
IN THE OFFICE OF
ADMINISTRATIVE HEARINGS
97CPS1499
CYNTHIA AUSTIN,
Petitioner,
CRIME VICTIMS COMPENSATION COMMISSION,
Respondent.
RECOMMENDED DECISION
This contested case came on for hearing before the undersigned administrative law judge on respondent's Motion for
Summar>' Judgment.
ISSUE
Did the respondent properly deny the petitioner's claim based on the victim participating in criminal activity at the time
of death?
I
UNCONTESTED FACTS
1. Petitioner filed an application with the North Carolina Crime Victims Compensation Commission under the North
Carolina Crime Victims Compensation Act based upon the death of her daughter on March 31, 1997. The North
Carolina Crime Victims Compensation Commission denied petitioner's claim on the grounds that the victim was
participating in criminal activit>' at the time of death.
2. The respondent filed a Motion for Summary Judgment on Februar> 1 8. 1998. The victim's father. Wade Allen, filed
a Motion to Intervene on March 2. 1998. The Motion was denied on June 25, 1998, for being untimely. The Motion
for Summary Judgment was granted on July 6, 1998. The respondent filed a proposed recommended decision on
Augusts, 1998.
3. The Report of Autopsy Examination states that the victim had cocaine in her system at the time of death. It further
states that "the use of cocaine was not immediately prior to death." The autopsy also revealed that the victim,
Angela Alan, was a 24 year old A fi-ican- American woman. Twelve buckshot pellet wounds in the back caused her
death. The shots, according to the autopsy report, were fired at a distance. The victim, a mother of four, was shot
by an uncle. The death certificate indicates that the murder occurred at 7:00 on the morning of March 31, 1997.
CONCLUSIONS OF LAW
1. N.C. Gen. Stat. § 90-95 states in pertinent part:
(a) Except as authorized by this Article, it is unlawful for any person:
(1) To manufacture, sell or deliver, or possess with intent to manufacture, sell or deliver, a controlled
substance;
(2) To create, sell or deliver, or possess with intent to sell or deliver a counterfeit controlled
substance;
(3) To possess a controlled substance.
A recognized rule of statutory construction is that words used in a statute are to be given a consistent interpretation
each time the word is employed. The above statute uses the word "possess" three times - possess with intent to
manufacture, sell or deliver a controlled substance, possess with intent to sell or deliver a counterfeit controlled
substance, and possess a controlled substance. The word is clearly used in its ordinar\ dictionary meaning of "to
13:5
NORTH CAROLINA REGISTER
September 1, 1998
533
gBSBHBEBB9BaHC
COSTESTED CASE DECISIOSS
ha\e as propert>; o\sn."" State criminal lav\ also recognizes constructi\e possession s\here the substance is found
on premises under the defendant's exclusi\e control.
3. "Possess" means ha\ing control of propert>. A person controls a substance, for example, when it is placed in a
balloon and hidden in a bod> ca\ it>. The person intends to rerrie\e the substance. A crime is committed. Ho\ve\er.
in this case, the autops\ report found that the decedent's chemistr\' contained cocaine. Under the ordinary meaning
of "possess", the decedent did not ha\e the substance as a property o\er which she had control. Rather, she had
mereK consumed the controlled substance. If the state of ha\ ing consumed controlled substances should be a crime.
the General AssembK ma> enact the appropriate legislation. The General AssembK knows how to criminalize
consumption. Under N.C. Gen. Stat. § 20-138.1. it is unlawful to dri\e a \ehicle upon a street orhighwa\ "■(a)fter
ha\ ing consumed sufficient alcohol that (one) has, at any relevant time after the driving, an alcohol concentration
of 0.08 or more."
4. No e\idence shows an\ contributor}, misconduct. The \ictim had consumed cocaine ""not immediateK prior to
death." She was shot at a distance b\ her uncle earl\ one morning. No known connection exists between the cocaine
and the murder.
5. The undersigned originalK granted summan, judgment for the respondent and requested that a proposed decision
be submitted. Howe\er. after reading the proposal and re\iewing the file again, the undersigned determined that
summap. judgment should be rendered against the respondent. According to Rule 56(c). Rules of Civil Procedure,
summan. judgment ma) be rendered against the mo\ ing part\'.
RECOMMENDED DECISION
It is recommended that partial summary judgment be entered in the fa\or of the petitioner because there is no genuine issue
of material fact that compensation should be awarded and. as a matter of law. the respondent should grant the compensation. However,
the matter should be remanded to the Director to determine the amount of the compensation and to whom it should be awarded. The
petitioner is the mother of the \ ictim. The father. Wade .Allen, and the husband. Rodnev Hanslev . should be in\ol\ed in the process.
NOTICE
The agencv" making the final decision in this contested case is required to gi\e each part\ an opportunit\ to file exceptions
to this recommended decision and to present w ritten arguments to the agenc>. The agencv will ser\e a cop_\ of the final decision on
all parties, the attomevs of record and the Office of ,Administrati\e Hearings. The agencv that will make the final decision in this
case is the North Carolina Crime Victims Compensation Commission.
This the 12" dav of August. 1998.
Robert Roose\elt ReilK. Jr
Administrati\e Law Judsae
534 NORTH CAROLI.\A REGISTER September ], 1998 13:5
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